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FINRA Series 6 or 7 securities registration; FINRA Series 63 securities registration a plus. Responsible for maintaining office systems including CRM, phone system (RingCentral), document storage (Laserfiche), and various software applications, ex.
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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. Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators.
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Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any US state or the District of Columbia preferred. 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.
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Possesses Financial Industry Regulatory Authority (FINRA) registration Series 7, Series 63, and Series 65 or 66 licenses and State of Hawaii Department of Insurance Life, Accident and Health license.
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Thrivent Investment Management Inc. is the sponsor for FINRA registration and Thrivent Financial for Lutherans is the sponsor for insurance licensure. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.
$60,000 - $70,000 a yearFull-timeExpandApply NowActive JobUpdated 0 days ago - UpvoteDownvoteShare Job
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FINRA SIE, Series 7, and Series 66 securities licenses. Thrivent Financial is a faith-based, not-for-profit financial services organization with approximately 2.6 million members. Covenant Financial Group is an independent financial services practice of Thrivent Financial.
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Compliance with firm level FINRA rules, including, but not limited to net capital calculations, required regulatory filings, licensing and registration and aggregate sales charge limitation calculations.
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Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within either a 90 or 180-day time period, depending upon number of license(s) needed if not immediately available to transfer upon hire.
$80,400 - $155,900Full-timeExpandApply NowActive JobUpdated 1 days ago - UpvoteDownvoteShare Job
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Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents) Registration for FINRA Series 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
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Successfully completed FINRA Series 7 and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents) Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.
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FINRA Registration: Possession of a FINRA Registered Series 82, or a combination of Series 7 and 63 or 66. Our technology enables seamless investment-to-exit management for a myriad of alternative investments including pre-IPOs, hedge funds, real estate, private equity, venture funds, and other asset classes.
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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Upon required licensing and SAFE registration, the Relationship Banker LP (SAFE) employee will transition to the Relationship Banker (SAFE) role. The Nationwide Mortgage Licensing System (NMLS) web site ( provides the MU4R questions and registration required for employment in this position.
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