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Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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The Summit Financial Advisors program is available through a partnership with TruStage and LPL Financial, the largest independent broker-dealer in the U.S. Officially an employee of TruStage, you'll be supported by this strong, combined partnership with over 200 years of experience and the resources of all three highly reputable companies.
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Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
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The right candidate will play an active role in supporting the Chief Compliance Officer of LSI in maintaining and implementing the day-to-day compliance program of the broker-dealer. Lloyds Securities Inc. (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of Lloyds Bank Corporate Markets, plc UK (LBCM plc UK.
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Avantax Wealth Management offers services through its registered broker-dealer, registered investment advisor (RIA), and insurance agency subsidiaries and is a leading U.S. tax-focused independent broker-dealer that works with a nationwide network of Financial Professionals operating as independent contractors.
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The firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. Job Title: Investment Banking Analyst, Healthcare Services and Technology.
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Extensive knowledge of the regulatory environment in the fintech industry, particularly consumer lending, mortgage, banking, insurance, payments, broker-dealer and investment advisory, privacy, and cybersecurity.
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Experience and aptitude with working with a broker-dealer technology, i.e., electronic order entry systems, DocuSign, etc. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members.
Full-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
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This will involve working closely with our broker-dealer to resolve customer queries and issues, while also serving as a key point of contact between the broker-dealer and dub.
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15+ years of experience in estate planning and trust administration required, including experience with a broker-dealer, registered investment advisor or wealth management firm. 15+ years of experience in estate planning and trust administration required, including experience with a broker-dealer, registered investment advisor or wealth management firm.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
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A sound understanding of the Broker/Dealer and RIA marketplace. Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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Prior experience managing legal and compliance teams, preferably with a broker dealer, self-regulatory organization, or a federal securities or commodities regulator. Candidates will ideally have 10 years of compliance and legal experience working for a proprietary trading firm, broker-dealer, clearing firm, SRO, or similar organization under FINRA's purview.
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Develop NFFG strategic compliance initiatives for Navy Federal Investment Services, a SEC Registered Investment Advisor and FINRA Registered Broker Dealer. Significant experience in leading a broker/dealer compliance operation in a financial organization.
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