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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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FINRA Series 7 and/or Series 24 license and additional Principal Licenses (*Only for Broker Dealer Supporting Roles) Certifications: ACAMS - Association of Certified Anti-Money Laundering Specialists.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. SummaryLocation: Rockville, MD (Job Posting); Jersey City, NJ (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); New York, NY (Job Posting)Type: Full time.
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Certifications: Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. Certifications: Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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FINRA Series 7 and/or Series 24 license. Engage with the Financial Crimes Analytics Team to drive thematic reviews of key risk areas for the broker-dealer and develop/enhance GFC automated detection tools designed to identify potentially suspicious activity as per regulatory guidance issued by the SEC/FINRA.
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Understanding of industry standards like Pershing, FINRA/SEC, LIMRA, DTCC/NSCC, Morningstar, SMA/UMA, and Advisory Platform will be considered big plus. FINRA SIE (Securities Industry Essentials) and Series 99 (Operations Professional) or must be obtained within 120 days of employment.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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Collaborate with other FINRA departments to advance financial inclusion objectives across all aspects of the programs. FINRA is hiring a Program Manager in our Investor Education and Community Outreach group.
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With the Office of the General Counsel, manage the execution of grant agreements and contracts relevant to selected FINRA Foundation programs. Ensure compliance with the FINRA Foundation's programmatic and grantmaking procedures.
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This position also is recognized by FINRA and the industry as a top/primary expert in BD/IA regulation as well as other areas, rendering independent expert advice in these areas. Represent FINRA before industry and regulatory groups and organizations; serve as speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise.
$144,500 - $339,300 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Former employment with securities regulators such as SEC, FINRA, national securities exchanges, NFA, and/or CFTC. Moreover, the candidate should have a strong command of core Self-Regulatory Organization rules, including but not limited to, FINRA Rules 2210, 3110, 2111, and 2010.
$189,000 - $275,000 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. The Wealth Management Advisor builds comprehensive financial plans and wealth strategies to prepare their customers for future goals and cash flow needs through a sound and efficient savings, investment, and tax strategy.
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Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve.
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Active FINRA Series 24 or ability to obtain within 120 days. Active FINRA Series 24. Active FINRA Series 24 or ability to obtain within 120 days. Active FINRA Series 24. Obtaining the Series 24 may include passing the Securities Industry Essentials exam plus the Series 7 top-off exam)Strong relationship management/influencing skills.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA Company Overview. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
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