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Preferred Professional Experience: Minimum 2 years experience in a compliance function or similar role Hold the Series 7 and 24 FINRA licenses or be willing to pass exams in a reasonable period of time.
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FINRA Series 7/63 (Series 24 preferred) Knowledgeable of FINRA, DTCC, NSCC, OCC and SEC rules and securities trading processes and applicable regulations. Knowledgeable of FINRA, DTCC, NSCC, OCC and SEC rules and securities trading processes and applicable regulations.
$119,000 - $164,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 24-year track record of serving the investment needs of credit unions and their members. americafirst.com Desired Qualifications: Licenses and Registrations: FINRA Series 7, 63/65 (or 66), and Insurance licenses preferred but not required.
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FINRA Series 7 and 24. Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators. Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies.
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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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If you do not have the following, you will be required to attain them under the sponsorship of Equitable Advisors: state life and health licenses, FINRA Series 7 and 63/66 registrations. Equitable is currently seeking someone to join our team as an Entry Level - Wealth Management VP professional to fast track their career into Management within 24 months.
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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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Equitable is currently seeking someone to join our team as an Entry Level - Financial Advisor to fast track their career into Management within 24 months. A four-year college degree is preferred but not required and relevant professional FINRA securities registrations are a plus.
$55,000 - $105,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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FINRA Series 7 and Series 24. Allspring is a leading asset management firm with close to $465 billion of assets under management, 24 offices globally, and specialized investment teams supported by more than 480 investment professionals.
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Active and valid FINRA Series 7 license required. CFP designation, CFA designation, or a Master's Degree in Personal Financial Planning required (may consider 24 month condition of employment.
$140,000 - $180,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Group Benefits Client Relationship Manager - Charlotte, NC. Compensation range: $65,000 - $130,000+; base salary is $65,000, incentive compensation is unlimited. Related Job OpeningsAccount Executive - Group Benefits - Charlotte, NC.
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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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FINRA Registrations Series 7 and Series 24. This may include the SEC, FINRA and/or state regulatory agencies. FINRA Registrations Series 7 and Series 24. Receive, process, investigate, and respond to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor Representatives.
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FINRA Series 24 Strongly recommended. FINRA Series 7 Required. Assist in responding to regulatory, internal, and external inquiries from the SEC, FINRA and Exchanges.
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FINRA Series 7, 24 and 66 (or ability to obtain within 12 months) We are looking for a thought leader and experienced professional in one or more of the following Advanced Sales areas: estate planning, tax planning, charitable planning, long-term care planning, and executive compensation strategies.
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