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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) FINRA Series 24 and/or Series 27 licenses.
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5 years working in risk and regulatory compliance within the banking, capital markets and/or insurance industries (including thorough knowledge of the Basel Accord, Dodd Frank, FBO, FINRA, SEC, FinCEN, OCC, FDIC, CCAR, etc.
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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.
$55,000 - $75,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Registration for FINRA Series 63 (or 66) must be completed within 180 days of hire date if it is not available for transfer upon hire. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
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US: Current Registration for FINRA series 6, 63, and 65 are required for the role. Ensure that KYC/AML and other compliance norms are strictly adhered to. US: Current Registration for FINRA series 6, 63, and 65 are required for the role.
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FINRA Series 7, preferred. Knowledge of rules and regulations of SEC, FINRA and state securities regulatory agencies. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
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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. Representatives are employed by and registered through CFS (Member FINRA/SIPC.
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FINRA series 6 and 63 licensed or complete series 6 and 63 testing within 120 days of start date. PFM Asset Management (PFMAM) is currently seeking an industry professional to assist with our Outsourced Chief Investment Officer (OCIO) client management and business development efforts for its discretionary investment advisory practice as an OCIO Specialist.
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Work with other FINRA departments including Investor Education and Corporate Communications to formulate FINRA’s response to issues and trends that pose a risk of ongoing investor harm. Work with the senior management team on SEC oversight inspections and FINRA internal audits.
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Either by way of direct engagement or retention through the professional's insurance carrier, we represent, among others: accountants, architects & engineers, attorneys, bankers, computer and media professionals, (cyber law), financial planners, healthcare providers, insurance brokers and agents, school districts and municipalities, property appraisers and inspectors, real estate appraisers, brokers and agents, and securities brokers (FINRA.
$130,000 - $175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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FINRA SIE, Series 7, 63, 86, and 87 to be obtained within six months of hire. Perform calls with institutional investors and equity sales professionals to communicate and clarify published research.
$160,000 - $225,000ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Required: FINRA Series 7/66, or 63/65 combo. Required: FINRA Series 7/66, or 63/65 combo. Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
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FINRA Series 7, 86 and 87 licenses required, upon entry, or immediately thereafter. FINRA License Sponsorship. Our team is looking for Equity Research to join our award-winning team of sell-side equity researchers covering the biotechnology and biopharmaceutical sectors, with a focus on either oncology or neurology.
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FINRA registrations; Series 6 or 7 and Series 63. Securities can only be offered by properly licensed Registered Representatives of NYLIFE Securities LLC (member FINRA/SIPC), a Licensed Insurance Agency.
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finra job in San Francisco, CA
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