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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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AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC. Licensing: SIE Securities Industry Essentials Certification; FINRA Series 7, 63 required.
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Noble Capital Markets, a full-service SEC/FINRA registered broker-dealer dedicated exclusively to serving emerging growth companies for 40 years, is looking for an experienced Managing Director - Valuation Analyst to grow our valuation and opinion practice.
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Compliance Ops Associate - FINRA Series 24. FINRA Series 7 and Series 24 licenses required. Knowledge of FINRA, SEC and other regulatory rules and regulations. Compliance Ops Associate - FINRA Series 24.
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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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Licensing: Will work to obtain the SIE Securities Industry Essentials Certification and FINRA Series 7, 63 licensing. In our structured program, you will be tasked with completing required training, mastering assessments, obtaining industry licenses and certification (FINRA Series 7 & 63 and SIE) and meeting minimum performance standards.
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FINRA SIE, Series 6 & 26 or to be obtained within 180 days of employment. FINRA SIE and/or Series 6/7. The FINRA/SEC Compliance department is responsible for ensuring that Mutual of America Securities and its personnel comply with regulatory requirements.
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Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an individual.
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Obtain Licenses: Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity.
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Certifications: You will be given paid time and support to obtain SIE - FINRA, Series 07 - FINRA, Series 66 - FINRA. Series 07 - FINRA, Series 66 - FINRA. We provide all the training you need to develop the skills needed to service customers and study for your FINRA licensing exams.
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Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals. Knowledge of Broker-Dealer compliance, regulations, and requirements. Since 1945, we have specialized in providing small and mid-sized not-for-profit organizations and companies with pension and retirement-related services, along with leading customer support.
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FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years’ experience. Financial Advisors may engage in some mortgage related activities, but others are not permitted unless they are dually employed by MLPF&S and the Bank of America, NA. The requirements for dual employment and the permissible and non-permissible activities are described in Mortgage and Credit Policy in the Merrill Lynch Global Wealth and Investment Branch Office Compliance Manual.
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US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Penn Mutual supports its financial professionals with retirement and investment services through its wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC. Penn Mutual supports its financial professionals with retirement and investment services through its wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC.
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The Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.
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finra job in Boca Raton, FL
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