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Knowledge Requirements:At a minimum, substantive knowledge of risks, rules, and regulations pertaining to model risk management and governance within financial services. Master’s degree and past Financial Services industry experience with significant model risk management expertise highly desired.
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CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U.S. We are one of the few firms that provide fully outsourced principal solutions, in addition to regulatory consulting, CCO & FINOP outsourcing, and CMA - 1017 services.
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Consumers Credit Union , as part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services to its members in the Lansing, MI area.
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FINRA Series 24 and knowledge of FINRA/SEC regulations preferred. Ally Financial is a customer-centric, leading digital financial services company with passionate customer service and innovative financial solutions.
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Substantive knowledge of member firm’s operating models, business lines, customer bases, products, and services. Ensures Unit’s operations effectively support Member Supervision and other RegOps and FINRA departments as necessary.
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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. SummaryLocation: New York, NY (Job Posting); Jersey City, NJ (Job Posting); Jericho, NY (Job Posting); Denver, CO (Job Posting); Dallas, TX (Job Posting); Chicago, IL (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Woodbridge, NJ (Job Posting); San Francisco, CA (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); Los Angeles, CA (Job Posting)Type: Full time.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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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. Representatives are employed by Patelco Credit Union and registered through CUSO Financial Services, LP (CFS.
$66,560 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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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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Securities and advisory services offered through LPL Financial, member FINRA/SIPC, and a Registered Investment Advisor. ESL Investment Services, LLC, member FINRA/SIPC, provides referrals to LPL Financial and its affiliates.
$29.65 - $37.38 an hourFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Time Off and Paid Leave*FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year.
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Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. Workplace Investing (WI)is Fidelity's retirement services business which helps over 24k employers lead a successful benefits program, to improve overall well-being to over 43 million employees.
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FINRA Series 24 and/or Series 27 licenses. Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer) Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing.
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Must have 1 year of combined experience within financial services compliance practices, including monitoring and testing, as required by the SEC, CFTC, FINRA, NFA, OCC and/or other related regulatory bodies.
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