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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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This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
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Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Series 7 and Series 9/10 required, ability to obtain Series 66 within 90 days.
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Regulatory reporting team in a financial firm seeking a VP level Reg Reporting Specialist with expertise in SEC, FINRA, CFTC rules and regulation. Strong knowledge of SEC, FINRA, CFTC Reg Rules.
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Strong knowledge of the US banking regulatory reporting rules and regulations (FINRA, Qualified Financial Contracts, Dodd Frank and Segregation of Initial Margin Amount (SEG IA), Tax, & ISDA documentation.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. Investment Sales Assistants are employed and registered through CUSO Financial Services, L.P. (Member FINRA/SIPC.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 65 - 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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Certifications: Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Certifications: Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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We assist companies and non-profit organizations in delivering benefits to their employees. We welcome those with experience in jobs such as Bilingual Customer Service , Accounts Receivable Clerk, and Senior Accountant and others in the Accounting and Finance to apply.
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Required Qualifications: Licenses and Registrations: MA certified Life, Accident, & Health Insurance license and current FINRA Series 6, 63 & 65; or Series 7 & 66 licenses. 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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The Senior Principal Investigator on the Crypto Asset Investigations (CAI) team, utilizing their significant crypto and/or fintech investigative and risk management experience, independently conducts advanced high complexity crypto-related review and special investigations involving FINRA member firms and/or affiliates.
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed (OR ability to acquire series 65/66 upon hire) and Life Insurance license.
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Understanding of Liquidity Risk Regulatory requirements pertaining to Reg YY and FINRA, CFTC, NFA or FDIC. Understanding of Liquidity Risk Regulatory requirements pertaining to Reg YY and FINRA, CFTC, NFA or FDIC.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. We welcome those with experience in jobs such as Accountant, Accounting Manager, and Field Client Relationship Manager and others in the Accounting and Finance to apply.
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