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Account Manager / Client Services / client support / Analyst / registered paraplanner / CFP / FINRA / business manager / Client relationship manager / project manager / project management / retirement planning / banking / professional services / CPA / financial planner / financial analyst / Sales / account executive / key account manager / Broker / CExP / Certified Exit Planner / CLU / Chartered Life Underwriter.
$100,000 - $130,000 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Reviews and enters trade tickets into proprietary system in a timely manner consistent with contra firm rules and FINRA and NSRB reporting requirements. AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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This role involves providing legal counsel to blockchain technology companies, financial institutions, and digital asset exchanges, focusing on securities law issues, private placement agent requirements, custody rule requirements, cross-border regulatory challenges, and responding to FINRA and SEC regulatory inquiries.
Full-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Securities and Investment Advisor services offered through Securian Financial Services, Inc., Member FINRA/SIPC. Virginia Asset Management is independently owned and operated. Our relationship with Securian Financial Services, Inc. allows us to be independently owned and operated while providing you with the support and training of a well-established financial services company and broker dealer firm.
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FINRA Series 7 & 66 registrations. Virginia Asset Management is a privately owned, independent wealth management firm with a robust employee benefits/group insurance division. The firm is headquartered in Midlothian and has additional office locations throughout Virginia, Raleigh, NC, Doylestown and Aliquippa, PA.
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2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas. Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
ExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Professional Certification such as Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS) or FINRA licenses preferred. Provide support and guidance to Investment Management MLROs with respect to relevant Regulation, Firm Policy and Procedures and industry best practices for AML/KYC/CDD and other matters.
Full-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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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 clients financial life.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Current Investment Advisor Representative designation, OR Series 65, OR a combination of FINRA Series 7 and Series 66, OR qualifying financial professional designations or equivalents. Our client, a highly respected fee-only portfolio management and fiduciary firm with over $200 billion in assets under management, is looking for qualified financial professionals to join their firm as a Regional Vice President of Sales.
Full-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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FINRA Series 7, 63 and 65 or FINRA Series 7, 66 (Required) The Investment Advisor/Wealth Manager at First Community Bank and Trust is responsible for providing investment guidance for businesses and individuals, expected to provide sound advice and analysis on a variety of investments, including individual equities and fixed income instruments, managed accounts and insurance products, among others.
ExpandApply NowActive JobUpdated 15 days ago - UpvoteDownvoteShare Job
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6+ years of legal experience, preferably gained both at a top-tier law firm and as in-house counsel within the financial services industry. Support cross-functional business teams with legal advice and counsel in the areas of SEC/FINRA laws and regulations, data privacy, marketing, ERISA, and other federal and state securities laws.
$150,000 - $175,000 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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The associate will review all AML-related items including Know Your Customer forms (KYC), CIP and anticipated account activity in line with Bank Secrecy Act and regulatory requirements (i.e., FinCEN, FINRA, OFAC, etc.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Gradient Securities is a Broker-Dealer dually registered with FINRA and as Gradient Wealth Management who is an SEC registered investment advisor firm. In addition, utilize Gradient marketing and financial planning tools to seek out new advisory clients for the firm.
Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Extensive experience with bringing in new investor business, high-volume phone activity, and in-person meetings, working as an investment advisor or external wholesaler with a strong track record of success in sales and bringing in new investment assets.
$100,000 - $350,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago
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