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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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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. SummaryLocation: Rockville, MD (Job Posting); Jersey City, NJ (Job Posting); Reston, VA (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); Philadelphia, PA (Job Posting); New York, NY (Job Posting)Type: Full time.
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Participate in on-site audits of registered duties, documentation, and processes in order to comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies. FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required.
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FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire. 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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Certifications:Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 required prior to hire. Certifications:Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA.
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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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Capital Market Regulations, including FINRA, SEC, DTCC, etc. Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening. Our practice specialties include operational risk management, internal and external compliance, Financial Crimes prevention, Governance Risk and Compliance (GRC) capabilities, and digital fraud solutions.
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Licensing requirements: FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10). This role requires the FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10). The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker-dealer subsidiary of PNC Bank. This role works with Compliance, Central Review Desk and Regional Sales Managers to identify suspicious patterns in sales and business practices.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. SummaryLocation: Washington, DC (Job Posting); Jersey City, NJ (Job Posting); NYC (Brookfield Place); Woodbridge, NJ (Job Posting)Type: Full time.
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The position will be responsible for directing onsite staff and visitors that need assistance with reserving a personal space or meeting room using the reservation tool and will provide general facility services for FINRA locations.
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Governance Risk and Compliance (GRC) Business and Technology, including direct experience with GRC technologies and Risk platforms to support broader enterprise needs. We are currently seeking a Financial Services Risk and Compliance Consulting Senior Manager to join our team in Charlotte, North Carolina (US-NC), or NYC, United States (US.
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Oversees the production and fulfillment function for FINRA, to include corporate branded merchandise, external event branding, printed materials for key stakeholders, among others. 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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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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Essential Job Functions:Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management (“RSM”) team, Regulatory Operations teams, and other FINRA customers, as applicable.
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