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FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years’ experience. FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years’ experience.
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You’ll also take charge of your own professional journey by attending the Schwab Service Academy, which provides you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses.
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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.
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FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.#LI-Hybrid. Item development – Edit new items submitted by committee members and bank items to conform with FINRA/client style guide.
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US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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FINRA Licenses : Series 7, 66/63 preferred. FINRA Licenses : Series 7, 66/63 preferred. Performs account maintenance including money transfer requests, address changes, etc. Proficient use of Microsoft Excel, Word, Outlook & PowerPoint required, experience with DocuSign preferred.
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Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Securities offered through Cetera Advisor Networks, LLC, member FINRA/SIPC. Advisory services are offered through Cetera Investment Advisers, LLC, a registered investment adviser. Ability to obtain necessary industry registrations, FINRA Series 7 and 66, is required.
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Ensure that the surveillance framework is aligned with industry regulations, including SEC, FINRA, and other relevant bodies. Advanced degrees or certifications (e.g., CFA, CFE) are a plus. As an Analyst specializing in eCommunications surveillance, you will play a pivotal role in supporting the migration and transformation of the enterprise eCommunications surveillance platform which ensures the integrity and regulatory compliance of our communication channels.
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Accredited with the Financial Industry Regulatory Authority (FINRA) I am a proud graduate of Tulane University. We help customers with their insurance and financial services needs, including Auto Insurance, Home Insurance, Life Insurance, Retirement Planning, Business Insurance, and Renters Insurance.
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Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC. Investment advisory services are offered through Raymond James Financial Services Advisors, Inc. Henderson Hutter Group is not a registered broker/dealer and is independent of Raymond James Financial Services.
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Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements.
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Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment. Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment. Prospect and network for middle-market clients by identification of qualified names and making initial contacts.
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Member: FINRA, SIPC. Products are available in most states. Member: FINRA, SIPC. Products are available in most states. We're a member-owned fraternal financial services organization that believes in helping others, building.
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Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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finra job in New Orleans, LA
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