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Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA. Workplace Investing (WI)is Fidelity's retirement services business which helps over 24k employers lead a successful benefits program, to improve overall well-being to over 43 million employees.
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Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA, Series 99 - FINRA. Industry experience in the Retirement, Bank Trust and Custody and intermediary markets. We are looking for a Product Area Leader supporting our Institutional Custody, Bank Trust, and Retirement Solutions.
ExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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FINRA Series7, FINRA Series 63 and FINRA Series 24 all Required. This individual will be the independent compliance partner who will be responsible for working within the Citizens Marketing Department to advice and counsel on applicable SEC, FINRA, MSRB and state securities regulations applicable to any and all marketing/advertising materials which involve any affiliated broker dealer/RIA. The individual must possess an expert level knowledge of all applicable rules/regulations related to broker dealer/RIA marketing and advertising activities.
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Partner with ERISA counsel and vendors to ensure compliance requirements meet or exceed for all retirement plans including providing guidance regarding new or existing DOL and IRS regulations relating to plan audits, financial reporting, government form filings (e.g., Form 5500), funding notices (SAR/AFN) and reporting, SPD/plan amendments etc.
Full-timeExpandApply NowActive JobUpdated 26 days ago - UpvoteDownvoteShare Job
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FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
$200Full-timeExpandApply NowActive JobUpdated 4 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 2 months ago - UpvoteDownvoteShare Job
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Further, as a member of the Retirement team, the Investment Strategist will support other Retirement teams, as needed, to further the growth of the business including the Public Policy, Participant Engagement, and Independent Fiduciary teams.
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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 1 month ago - UpvoteDownvoteShare Job
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At Manulife, we are seeking an exceptional individual to join our team as AVP, Retirement Product. Knowledge of the ERISA and FINRA regulatory environment and guidelines. Foster and guide strategic vision; develop and implement highly complex and integrated project portfolio across various client segments to support the growth plans of the retirement business.
$148,400 - $275,500 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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BHCHP full time employees are eligible for our competitive time off policy of 4 weeks' vacation , health, dental and vision insurance, 403B retirement savings plan and employer retirement contribution, and pre-tax MBTA pass program with 40% discount.
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Educational Requirements University (Degree) Preferred Work Experience 3+ Years Required; 5+ Years Preferred FINRA Registrations SRC Indicator: Series 7; Series 63; Series 65; Series 66 Physical Requirements Physical Requirements: Sedentary Work Career Level 7IC Required Qualifications: 3+ years of experience in financial services FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must be obtained within the first 120 days.
$65,600 - $110,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Snap-on also offers a complete benefits package which includes: medical, vision, dental, life insurance, 401(K) Savings and company paid retirement plan, paid vacation, and many other benefits.
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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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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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Advising the business on SEC, FINRA, MSRB and SRO laws, rules and regulations, with a particular focus on broker-dealer rules and regulations applicable to transactions with retail investors. Advising the businesses on CFTC rules and regulations and ISDA transaction documentation.
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finra retirement jobs in Chestnut Hill, MA
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