FINRA Licensed Suitability PrincipalVirtualVocations • Glendale, Arizona, United States
FINRA Licensed Suitability Principal
VirtualVocations • Glendale, Arizona, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Suitability Principal to conduct back-office reviews and suitability assessments for new business submissions.
Key Responsibilities
Conduct back-office review and firm acceptance of new and existing submissions related to various investment accounts
Review trading activity of registered representatives and become a subject matter expert in relevant lines of business
Consult with registered representatives and provide guidance on suitability concerns and risk mitigation measures
Required Qualifications
FINRA Series 7 & 24 required at time of application
2+ years of relevant experience or 3+ years conducting suitability reviews
High School Diploma / GED / HiSET
High aptitude for effective problem resolution
Strong organizational and time management skills
[job_alerts.create_a_job]
Principal • Glendale, Arizona, United States
[internal_linking.similar_jobs] A company is looking for a Director of Supervision responsible for overseeing the daily transactions and activities of registered representatives and investment advisor representatives.Key Responsi...[show_more] 
Vaco Phoenix is partnering with a client who has an excellent opportunity for an Assumptions Processor.This role will be responsible for managing the process of mortgage assumption applications, en...[show_more]
Discover your next step at Globe Life American Income Division! As we expand into new territories, we are looking for dedicated professionals wanting to elevate their career.In this role, you’ll ta...[show_more]
Our hospital provides high-quality care that transforms the lives of those living with disabling injuries and illnesses.We distinguish ourselves through our commitment to excellence, to our patient...[show_more]
Our energy system is on the brink of a major transformation, and we’re looking for someone to help us ensure this new system puts rooftop solar energy at the cornerstone!.The Grant Associate ...[show_more]
The Clinical Liaison acts as a coordinator between internal and external referral sources, and the acute inpatient rehabilitation operations.
The Clinical Liaison is responsible for establishing rel...[show_more]
We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...[show_more]
We are looking for enthusiastic individuals to join our team as Behavior Technicians.As a Behavior Technician, you will have the opportunity to make a real difference in the lives of children with ...[show_more]
Licensed Practical Nurse, LPN (Culture, Flexibility, Benefits).At Aegis Healthcare we are expanding our Home Health & Hospice teams, providing compassionate care to patients in their homes and ...[show_more]
Mercor is seeking • •native French speakers • • who are also • •finance professionals • • based in France.This role combines your • •financial analysis and investment expertise • • with • •language mastery • •...[show_more]
Licensed Practical Nurse, LPN (Culture, Flexibility, Benefits).At Aegis Healthcare we are expanding our Home Health & Hospice teams, providing compassionate care to patients in their homes and are ...[show_more]
This role is responsible for auditing the quality of incoming loads, ensuring compliance with established standards, and identifying any deviations.
Observe the quality of loads on arrival.Identify ...[show_more]
Welcome to Abrazo Health Network, where making a real difference in people's lives is at the heart of everything we do.Beyond just medical treatments, we believe in the power of genuine relationshi...[show_more]
Licensed Property & Casualty Insurance Agent - Remote USA Your potential has a place here with TTEC’s award-winning employment experience.
As a Licensed Property & Casualty Insurance Agent working r...[show_more] A company is looking for a Senior Compliance Leader - Digital Securities.Key Responsibilities Oversee compliance operations for the broker-dealer and ATS Conduct trade surveillance, communicatio...[show_more] Mercor is seeking • •native Spanish speakers • • who are also • •finance professionals • • based in Spain, Mexico, Central America, or South America.
This role combines your • •financial analysis and inves...[show_more] We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...[show_more] 
Estrella Mountain Comm College.Monday - Friday, 8 : 00am - 5 : 00pm.Summer hours : Monday - Thursday, 7 : 00am - 6 : 00pm.
To best serve the students, department, and college, this position is fully in-perso...[show_more]
FINRA Licensed Supervision Director
VirtualVocations • Glendale, Arizona, United States
[job_card.full_time]
[last_updated.last_updated_variable_hours] • [promoted] • [new]
Assumptions Specialist
Vaco by Highspring • Tolleson, Arizona, United States
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Remote Sales Representative
Globe Life American Income Division • Goodyear, AZ, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Licensed Practical Nurse, LPN
ClearSky Health • Avondale, AZ, United States
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Grant Associate - Virtual / Remote
Solar United Neighbors • Glendale, AZ, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Clinical Liaison Full Time (West Side) (RN / LPN / PT / OT / SLP)
Reunion Rehabilitation Hospital • Avondale, AZ, United States
[job_card.full_time]
[last_updated.last_updated_1_day] • [promoted]
Remote Investment Analyst – AI Trainer ($50-$60 / hour)
Data Annotation • Avondale, Arizona
[filters.remote]
[job_card.full_time] +1
[last_updated.last_updated_30] • [promoted]
Spanish Speaking Behavior Technician
Centria Autism • Tolleson, AZ, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Licensed Practical Nurse, LPN
Aegis Healthcare • Goodyear, AZ, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Remote Bilingual French Finance Expert - AI Trainer ($60-$80 per hour)
Mercor • Goodyear, Arizona, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Licensed Practical Nurse
Aegis Healthcare • Goodyear, AZ, United States
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Vendor Compliance Auditor
Capstone Logistics, LLC • Tolleson, AZ, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Director Nursing Observation
Abrazo West Campus • Goodyear, Arizona, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Licensed Property & Casualty Insurance Agent - Remote USA
TTEC • Tolleson, Arizona, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_1_day] • [promoted]
FINRA Licensed Compliance Leader
VirtualVocations • Peoria, Arizona, United States
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Remote Bilingual Spanish Finance Expert - AI Trainer ($25-$65 per hour)
Mercor • Goodyear, Arizona, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Remote Finance Director - AI Trainer ($50-$60 / hour)
Data Annotation • Goodyear, Arizona
[filters.remote]
[job_card.full_time] +1
[last_updated.last_updated_30] • [promoted]
Project Manager - Short Term
Maricopa Community College District • Avondale, AZ, United States
[job_card.full_time] +1
[last_updated.last_updated_30] • [promoted]