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Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA, Series 99 - FINRA. Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA, Series 99 - FINRA. 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 Associate will and work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, digital content, and market commentary.
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FINRA Brokerage license Series 7 required within 6 months (Series 24 possible) Fidelity, through its broker dealers, is required to send significant amounts of detailed trading and customer account and identification data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group, across several functions, is responsible for performing these duties on behalf of the broader firm.
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Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus. Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus.
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Essential Job Functions:Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management (“RSM”) team, Regulatory Operations teams, and other FINRA customers, as applicable.
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Series 24 FINRA license required (or willingness to obtain shortly after hire). Series 7, 63 FINRA Licenses required. CFA, CIMA or CFP a plus. Series 24 FINRA license required (or willingness to obtain shortly after hire.
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This is a hybrid position located in Boston, MA.What you will do:•Review investment advisor and certain institutional investor broker dealer marketing communications to ensure compliance with applicable FINRA and SEC regulations.
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Work with Compliance in drafting, updating and applying policies and procedures for investment management and distribution functions, as well as providing support in connection with relevant registration/disclosure forms (e.g., Form ADV and Form BD), regulatory exams and FINRA licensing/supervision matters.
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Familiarity with SEC, FINRA, NFA and CFTC rules and regulations preferred. Maintains strong working relationships with outside regulators (SEC, FINRA, NFA). Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics.
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Finra Series 7 & 63 may be required. Experience with Salesforce, FactSet, Morningstar Direct and eVestment are a plus. The US Distribution Associate role combines on-the-job training with formal training classes and special project assignments.
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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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Note : Securities offered through OneAmerica Securities, Inc., Member FINRA, SIPC, A Registered Investment Advisor. The Moody Street Group is not an affiliate of OneAmerica Securities and is not a broker dealer or a Registered Investment Advisor.
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Depending on location position may require appropriate FINRA registrations (Series 6 or 7) in accordance with MFS's licensing policy. Strong knowledge of financial products, investment techniques and strategies, and FINRA and SEC regulations as well as investment industry and MFS investment disciplines and philosophy.
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Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency.
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finra job in Boston, MA
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