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Collaborate with other FINRA departments to advance financial inclusion objectives across all aspects of the programs. 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.
Full-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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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 - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA. The VP, Partnership Manager will play a meaningful role as an ambassador for Fidelity's brand in the equity compensation marketplace. The ideal candidate will have relationships with the equity compensation ecosystem serving public and late-stage private companies.
Full-timeRemoteExpandApply NowActive JobUpdated 24 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.
ExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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This position is recognized by FINRA and the industry as the top/ primary expert in a particularly complex and unique subject matter area(s) pertaining to regulatory policy, rendering independent expert advice in these areas.
ExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Education Preferred See Job Description or better Licenses & Certifications Required FINRA Series 6 FINRA Series 63 Preferred FINRA Series 65. One FINRA pre-requisite (the Securities Industry Essentials (SIE) exam) and three FINRA licenses (Series 6, Series 63 and Series 65) are required.
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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.
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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.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Certifications:Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. Certifications:Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. Effectively addressing a range of customer needs, to include mutual fund inquiries, asset allocation discussions, brokerage needs, basic tax-free and deferred investments, trust and estate planning, as well as income and retirement planning.
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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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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.
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License/Certification/Designation: FINRA Series 6 or 7, Series 63, Series 65, State Life/Annuity Insurance Agent licenses required. Maintain required ongoing license and designation education, FINRA requirements, company policies, practices and education.
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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.
$130,000 - $160,000 a yearFull-timeExpandUpdated Today - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
ExpandApply NowActive JobUpdated 11 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 2 days ago
finra job in Washington, DC
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