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FINRA SIE, Series 7, Series 9/10 or Series 24 licenses required. Develop annual Compliance training for Operations, IT, and Finance personnel that encompasses regulatory focus items, new or modified rules from FINRA, the SEC or the MSRB, and reminders of certain firm policies.
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Its practice areas include Business Commercial Litigation, Shareholder Disputes/ Business Divorce, Intellectual Property Litigation, Employment Litigation, Civil Rights Litigation, Defamation Litigation, FINRA/ Securities/ Financial Services Litigation, FDCPA Defense Litigation, Trademark/ Copyright/ Transactional Advice, Commercial Property, Tax Appeals, Trust/ Estate/ Probate Litigation, and Land Use/ Real Estate/ Foreclosure Litigation.
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In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
$136,180 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Coordinating audit activities by integrating other internal audit subject matter teams (e.g., Business Lines, Technology, Anti-Money Laundering, Model, Risk Management, Data, etc.) The Corporate Audit Services (CAS) Senior Audit Manager – Human Resources (HR) and Legal is a management position that supports the Corporate Functions, Regulatory Reporting, and SOX Administration Audit Director.
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Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents) FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within either a 90 or 180-day time period, depending upon number of license(s) needed if not immediately available to transfer upon hire.
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You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 exams (other designations a plus) Equitable Advisors, LLC, member FINRA, SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable Network, LLC, are Equal Opportunity Employers M/F/D/V.
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Investment advisor representative of Cetera Advisor Networks, LLC. Securities are offered through Cetera Advisor Networks LLC, member FINRA/SIPC. Advisory Services are offered through Cetera Investment Advisers LLC, a registered investment adviser.
$100,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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FINRA Series 7 and 24 required; Must hold the FINRA Series 27 FINOP License or be willing to obtain within 120 days. Extensive knowledge of securities industry rules and regulations including but not limited to FINRA and the SEC.
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As the VP, Broker Dealer and Holding Company Financial Reporting, you will lead teams that manage financial activities in accordance with FINRA, SEC, and other regulatory requirements. As the VP, Broker Dealer and Holding Company Financial Reporting, you will lead teams that manage financial activities in accordance with FINRA, SEC, and other regulatory requirements.
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May be responsible for Compliance related reporting and analysis for FINRA and Firm policies and Private Placement approvals. Supporting the tracking of sales, client support and marketing activities in Salesforce, and supporting the Distribution COO in gathering and reporting of client facing activity and results.
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As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. 10 years of experience in self-clearing brokerage operations, including demonstrated management and leadership experience.
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Perform daily reconciliations and process proxy documents (All of these docs are FINRA regulated docs) Immediate need for a talented Investment Operations Specialist. Identify and troubleshoot issues related to reconciliations and document processing.
$23 an hourExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Prior experience in the finance industry is beneficial (Any prior experience in finance will work, e.g., Teller, Rep, Admin, Financial Advisor, or someone who has some experience into financial industry will work.
$22 an hourFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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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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Experience working with Financial Advising with Goals Based Wealth Management and a FINRA Series 7 or 99 license (or ability to acquire within 90 days) Work with the key stakeholders, portfolio manager, Information Technology, and Business and IT Architecture groups, to prioritize the enhancements to be made to the assigned applications ensuring annual budget constraints are adhered to.
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finra job in St Paul, MN
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