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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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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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Candidates who do not currently have the Securities Industry Exam (SIE), FINRA Series 6 and/or Series 63 will be provided paid time to study for and take these exams. This is a FINRA Registered job that is responsible for communicating details and providing participant options for retirement plans, after-tax investments, insurance products, payment flexibility, investment choices and overall retirement and financial issues to individual and institutional participants.
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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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Aptitude to complete FINRA SIE, Series 7 and Series 66 upon hire. Certifications: You will be given paid time and support to obtain SIE – FINRA, Series 07 – FINRA, Series 66 Required to obtain within the first 3.5 months.
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Series 7 FINRA registration required, Series 24 preferred. Experience working with or for the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory Authority (“FINRA.
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Active FINRA Series 7, Series 66 (63/65) license and Life & Health Insurance. The Specialized Relationships Group (SRG) is part of the Investor Services Branch Network organization and is primarily responsible for serving clients across various client segments and through both dedicated and team-based relationship models.
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We assist companies and non-profit organizations in delivering benefits to their employees. 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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Upon hiring, the successful completion of the FINRA Limited Representative-Investment Banking Exam (Series 79) and the Uniformed Securities Agent State Law Exam (Series 63). Investment Banking Analyst.
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Receive the opportunity to train and study to obtain FINRA Series 6 & 63 licenses. FINRA series 6 and 63 or higher equivalent licensure. Non-sales positions have the opportunity to participate in a bonus program.
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3+ years of licensed insurance experience, including Life, Health (LTC), and FINRA Series 6, plus a college degree are required. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike.
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FINRA Series 6, 63, and 26 (Principal) licensed - (26 must be obtained within 6 months) Understanding of relevant US open end mutual fund regulation and its application to fund shareholder transactions and transfer agency activities.
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Series 07 - FINRA, Series 66 - FINRA. u00A0We provide all the training you need to develop the skills needed to service our customers and study for your FINRA licensing exams! Here are a few featured benefits (not all benefits are listed): Maternal and Parental Leave, Tuition Reimbursement, Student Loan Assistance, 401(K) 7% match, Health Insurance, Dental Insurance, Vision Insurance, Disability Insurance, Paid Time off, Commuter Benefit Program, Backup Dependent Care, Charitable match, Concierge Services, Wellness Program, and Fitness Reimbursement.
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FINRA Series 24 or 26 Within 60 days of hire. Basic knowledge and understanding of SEC and FINRA regulations for mutual funds and advisors; familiarity with GIPS and CFTC a plus. FINRA SIE, Series 6 or 7 registrations required.
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Note: Life and Health, and FINRA Series 6 & 63 (if applicable) licenses are required. FINRA Series 6 or 7 and 63 (if applicable) licenses. Prior Experience as a Financial Advisor, Financial Planner, Registered Representative or Investment Representative preferred.
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finra job in Denver, CO
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