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Non-deposit investment products and services are offered through CUSO Financial Services, L.P. ("CFS"), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor. 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.
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Or obtain within 6 months Working knowledge of FINRA and SEC regulations Ability to work in a fast-paced and dynamic environment Minimum of 3 years’ experience of related work Preferred Requirements: Public Accounting experience Certified Public Accountant (CPA) Broker-Dealer, multi-entity, Introducing firm experience.
$85,000 - $100,000 a yearExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable), Registration as an Investment Advisor Representative (Series 65/66), Registration as a FINRA Securities Principal (Series 24/26.
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Registration as a FINRA Securities Principal (Series 24/26). Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable.
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Compensation range: $65,000 - $130,000+; base salary is $65,000, incentive compensation is unlimited. You’ll provide ongoing training and development for each reporting financial representative to include, though not limited to: activity management, weekly skill-building, coaching and field training (demonstration and case design.
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Related Job Openings Group Benefits Client Relationship Manager- Omaha, NE. Field Development Supervisor (Mutual of Omaha Advisors) - Columbia, SC (Relocation Assistance Available) Field Development Supervisor (Mutual of Omaha Advisors) - Braintree, MA (Relocation Assistance Available.
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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 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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The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.
$76,800 - $165,100 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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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.
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The Principal Integration Specialist will be a core contributor to program and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives.
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FINRA Series 63 required within 45 days. Nonimmigrant Workers and Green Card for Employment-Based Immigrants Investment Code of Ethics For Principal Asset Management positions, you'll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household.
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Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. As part of the Consumer Bank, J.P. Morgan Wealth Management is committed to serving clients across all of their financial needs, with offerings ranging from self-directed and automated investing to full-service advisor relationships.
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