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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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This role also directs FINRA’s appellate attorneys in defending FINRA’s final actions in NAC decisions and other FINRA actions that are appealed to the Securities and Exchange Commission. 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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Supports important MRTS training initiatives, including but not limited to Data Analytics, CAT, Securities Based Swaps, and Cryptocurrency by partnering with MRTS and FINRA subject matter experts and technology partners.
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Represents FINRA at Industry working groups or panels sponsored by other Industry leaders such as SIP, DTCC or SIFMA. The Director partners with other FINRA teams such as FINRA Operations, OGC, Finance and Market Regulation, to implement technical solutions and enhancements that cut across the organization and support downstream FINRA systems such as Market Regulation and Surveillance.
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Account Manager / Client Services / client support / Analyst / registered paraplanner / CFP / FINRA / business manager / Client relationship manager / project manager / project management / retirement planning / banking / professional services / CPA / financial planner / financial analyst / Sales / account executive / key account manager / Broker / CExP / Certified Exit Planner / CLU / Chartered Life Underwriter / VP / Director / Vice President / Wealth Management.
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Prepare FINRA sales tax data consolidation and reports database for reporting period. 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.
$82,200 a yearFull-timeExpandUpdated Today - UpvoteDownvoteShare Job
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FINRA Series 6/7, LH&A and 63 required. Regional Vice President (External Wholesaler) - S. California & Arizona ( 2400005I ) Candidate must be able to identify, create and implement annuity sales opportunities.
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This individual must have the appropriate FINRA registrations including, but not limited to: Series 4, Series 7, Series 24, Series 63, Series 65 and/or Series 66. This individual must have the appropriate FINRA registrations including, but not limited to: Series 4, Series 7, Series 24, Series 63, Series 65 and/or Series 66.
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FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year.
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Knowledge of the Investment Advisers Act of 1940, FINRA Rules, and the Investment Company Act of 1940. Experience in SEC and FINRA regulatory matters. Salary $200,000 - $300,000 per year A Bit About Us Corporate, regulatory and securities law firm which delivers premier legal services to financial institutions throughout the United States, including broker-dealers, investment advisers, investment companies, hedge funds, and private equity firms.
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Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. A valid and active FINRA Series 7 license required.
$65,000 - $95,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Securities Industry Essentials (SIE) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. We will support you while you learn the FINRA licensing material and work to obtain the Series 7 and 66 licenses.
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Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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Ability to foster and maintain constructive relationships with cross functional teamsMaintain a high level of professional conduct ensuring that all FINRA, SEC, Department of Insurance and Athene compliance and firm policies as well as the rules of engagement of our partner firms are adhered to.
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