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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 required prior to hire.
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FINRA Series 24 or 9/10 licenses. FINRA Series 7, 66 with Texas life and health licenses. FINRA Series 24 or 9/10 licenses. Must become proficient with the following systems: NetX360, MoneyGuide Pro Financial Planning, Nitrogen, Firelight, Docusign, Client CRM, Cuso Financial Services Unio technology platforms/systems, Albridge and back-office functions.
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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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Using required State of Hawaii Insurance and Financial Industry Regulatory Authority (FINRA) Series 7, 66 and/or 65/63 (or CFP in lieu of S65) licenses, solicits and services mutual funds, insurance contracts, and advisory services/managed account portfolio solutions (MAPS.
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Certifications:Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
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Have 5+ years of relevant experience with BSA/AML Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.
$85,000 - $135,000 a yearFull-timeExpandUpdated Today - UpvoteDownvoteShare Job
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FINRA Series 7, Series 66 (preferably) or Series 63, and Virginia Life and Health Insurance licensing. Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), KYC (Know Your Customer) and other regulatory requirements.
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FINRA Series 65 or 66, or obtain with six months. FINRA Series 63, or obtain within six months. FINRA Series 6 or 7. Higher certification (e.g. CFP, CRC, CEBS, ChFC, CIMA, CRPS) acceptable in lieu of RPA or CRPC.
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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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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees. Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA.
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Concurrent with the training period, Analysts will take their FINRA Licensing Exams: SIE, Series 82, and Series 63. Our professionals have spent their careers on Wall Street with backgrounds in Equity Research, Investment Banking and Equity Capital Markets.
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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. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial for Lutherans.
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Obtain Licenses: Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity.
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Advising the business on SEC, FINRA, MSRB and SRO laws, rules and regulations, with a particular focus on broker-dealer rules and regulations applicable to transactions with retail investors.
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We welcome those with experience in jobs such as Residential Real Estate Agent, Staff Accountant, and Accounting Assistant and others in the Accounting and Finance to apply. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent.
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