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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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Manage global regulatory exams and prepare business leaders for reviews conducted by banking and investment advisor regulators, including the SEC, FINRA, FCA, CBI, SFC, MAS, ASIC, and the Federal Reserve.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 required prior to hire. Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. Representatives are employed by and registered through CFS (Member FINRA/SIPC.
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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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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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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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Certifications: FINRA Series 7 and FINRA Series 63 are required. Interest and/or experience in the alternative investment space in the Wirehouse, RIA, and independent Broker-Dealer channels preferred.
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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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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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Experience with the current and proposed regulatory environment (SEC, FINRA, and ERISA) Act as the firm's appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams in accordance with The Investment Advisers Act of 1940.
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Note : Securities offered through OneAmerica Securities, Inc.,Member FINRA, SIPC, A Registered Investment Advisor. The Moody Street Group, LLC is not an affiliate of OneAmerica Securities or AUL and is not a broker dealer or a Registered Investment Advisor.
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finra job in East Boston, MA
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