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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.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Pass-through fees for Market Exchange Data, FINRA (if required) and administrative costs.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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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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Join our General Counsel office in Chicago, IL, Greenwich, CT, or Washington, DC. As part of our team, you will handle regulatory inquiries from the SEC, FINRA, CFTC, NFA, and other regulatory bodies.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Experience with Thomson/Refinitiv, Bloomberg, LexMachina, Mergermarket, Capital IQ and other research databases including relevant online industry resources i.e., FINRA, Federal Reserve, SEC/EDGAR preferred.
$145,000 an hourExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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To conduct risk-based examinations of FINRA member firms and registered representativesEssential Job Functions:Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.
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Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Series 99, or ability to obtain within 120 days (as required by FINRA) At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
Full-timeRemoteExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Accredited with the Financial Industry Regulatory Authority (FINRA)Life/Health Insurance LicenseSuccessful track record of meeting sales goals/quotas preferredBENEFITS:Salary plus commission/bonusPaid time off (vacation and personal/sick days)Growth potential/Opportunity for advancement within my officeLicensing reimbursement after 3 monthsSigning bonus for pre-licensed professionalsFlexible work from home options available.
$40,000 - $85,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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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.
$144,500 - $339,300 a yearFull-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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DC, Marlton, NJ, Arlington, Alexandria, Tyson's Corner, Reston, Leesburg/Lansdowne. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Securities Industry Essentials (SIE) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. We will support you while you learn the FINRA licensing material and work to obtain the Series 7 and 66 licenses.
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NFA Series 3 license required, FINRA series 24, 27 or equivalent licenses nice to have. Experience interacting with regulators such as FINRA, NFA, CFTC and ability to respond to regulatory inquiries and lead routine compliance examinations.
$161,500 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago
finra job in Washington, DC
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