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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.
$144,500 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Paulson Investment Company, LLC is a boutique investment banking, execution services, and retail brokerage firm focused on the micro to mid-cap (public & private) markets. · FINRA Series 7/63 and 65 or 66.
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Regal Securities is a FINRA registered national stock brokerage firm with an immediate opening for a Customer Service Specialist experienced in new account processing, handling customer trade support, activity report generation, and managing client phone calls.
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Must currently possess FINRA Investment License(s) – Series 7 and Series 66, or Series 7 with Series 63 and 65 and be in good standing. 3+ years of related experience in investment sales, Brokerage/Insurance and/or Banking/Retail.
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Business Development Associate, Highland Capital Brokerage. FINRA SIE, Series 6/7 and 63 License. Create and send DocuSign envelopes to electronically collect signatures from clients and/or producers.
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Works with FINRA’s Office of General Counsel to provide data and information in response to subpoenas, provides guidance to staff on FINRA and Market Regulation policies and procedures related to access requests and FINRA’s Government Actor Policy, and works with OLC to prepare the quarterly report to Regulatory Service Agreement (RSA) clients government access/data requests per relevant Communication Protocols.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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The ideal candidate will be an experienced Compliance professional with a strong understanding of equity trading, options, Prime Brokerage and securities lending. Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, Prime Brokerage required.
ExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Perform annual background checks of all BBVA Securities Inc. (“BSI”) registered reps through BIG.- Assist in TPRM & Procurement meetings and Aravo & WorkDay tasks with/for relevant vendors and regulators: MCO, BIG, Securities Training Corp, Knopman Marks, Docupace, RegEd, FINRA, etc.
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The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
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Responding to a range of customer needs, to include mutual fund inquiries, asset allocation discussions, brokerage needs, basic tax-free and deferred investments, trust and estate planning, as well as income and retirement planning.
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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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Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. The RoleWe are hiring a Director of Product Marketing. Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. The RoleWe are hiring a Director of Product Marketing.
$170,000 - $266,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed (OR ability to acquire series 65/66 upon hire) and Life Insurance license.
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Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations. Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm's trading controls.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Currently holds a FINRA Series 24 license. Deep understanding of the US securities industry and brokerage operations with experience in streetside operations, custody, and clearingDemonstrated experience providing guidance and applying operational risk principles and concepts.
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