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Through its relationship with CUSO Financial Services, LP (CFS), Patelco Credit Union is seeking a Financial Advisor to join their team in the Berkeley, CA area. Patelco Credit Union is a not-for-profit credit union with a purpose to build financial health and wellbeing for our members.
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Active FINRA Series 24, or 9/10 or ability to obtain in 90 days. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial Services, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.
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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. You have demonstrated knowledge of brokerage, insurance, money management, estate planning, financial planning and retirement planning.
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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 is a registered trademark of the Financial Industry Regulatory Authority, Inc. A Staff Data Scientist for Market Regulation Technology will support the establishment of data science and machine learning best practices as FINRA moves to machine learning (ML)-based pattern development.
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As the external face of First Community Bank and Trust, the Investment Advisor/Wealth Manager is expected to work closely with key firm personnel to provide a superior client experience across the full spectrum of the client’s financial life.
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Settlement operations consist of two teams (Repo and DTC) providing clearance support for multiple desks under both ING Financial Markets LLC and ING Capital Markets LLC and ING Capital LLC. The teams oversee various fixed income products via FED and DTCC consisting of but not limited to Bilateral / Tri Party / Sponsored / Cash / Commercial Paper while remaining FINRA compliant.
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FINRA Series 63 and Series 65 are acceptable in lieu of the Series 66. FINRA Series 66. 2-10 years of experience in a Financial Advisor role, or similar position. Proprietary financial planning tools and cutting-edge technologies, with industry leading support and training.
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Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
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Wealthfront is seeking a talented, passionate, and experienced compliance professional to support the Financial Intelligence Unit (FIU). Strong working knowledge of BSA/AML, FINRA, MSRB, and SEC regulations.
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Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.
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The Capital Markets Trading Operations team supports all Middle Office functions related to a broad array of transaction products, with focus on financial and regulatory control as well as supporting Wealth Management branches and clients.
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Obtain Licenses: Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity.
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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker-dealer, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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Certifications: Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. 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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