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Registration for FINRA Series 63 must be completed within 180 days of hire date if it is not available for transfer upon hire. Registration for FINRA Series 7 must be completed within 180 days of hire date if it is not available for transfer upon hire.
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If you are not currently registered, the FINRA Series 6/7, state registration (including 63, 65, or 66 if required) are required, as well as Life and Health Licenses. May be required to perform as Notary, Mortgage Loan Originator, Client Service Associate.
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Successfully completed FINRA Series 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed FINRA Series 79 exam to qualify for immediate registration (or FINRA recognized equivalents.
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US: Current Registration for FINRA series 6, 63, and 65 are required for the role. Ensure that KYC/AML and other compliance norms are strictly adhered to. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities.
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Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents) Registration for FINRA Series 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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Refer opportunities to segment partners where appropriate (including, but not limited to Lending Consultants and Financial Advisor, Small Business Partners, Relationship Manager, etc.) Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
$88,400 - $132,600 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008.
Full-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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Securities registration (FINRA Series 6 or 7 and 63, 65, or 66). If licensed, must have clean FINRA BrokerCheck. is one of the largest independently owned insurance brokerage firms in the country providing a full range of employee benefits, compliance, and HR consulting services, along with retirement solutions for both the private and public sectors.
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Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. Further information about NMLS and registration requirements of registration can be found at: Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products.
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Wealth Management, Financial Products And Regulatory Attorney - Vice President, Assistant General Co
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Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
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Expert knowledge of the Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements. Role Objectives: Delivery Maintains the entity level Risk Governance under CFTC/NFA and FINRA Regulations.
$142,000 - $176,000Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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8 years working in risk and regulatory compliance within your industry (including thorough knowledge of the key regulations and regulatory bodies for your industry e.g., CCPA, HIPAA, Alpha Regs, SEC/FINRA, FinCEN, OCC, FDIC, Federal Reserve, FTC, GDPR, LIBOR, ESG, Climate and Social Regulations, Licensing & Registration, Payments.
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Position will be remote but must reside in the San Diego Area. Active FINRA registration is a Must! Meet with high net worth and ultra high net worth clients of Wealth Advisors as a member of the advisory and financial planning team.
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Job Requirements and Preferences: Basic Qualifications: Minimum Degree Required: Bachelor DegreeMinimum Years of Experience: 5 year(s) of investment banking M&A experienceCertification(s) Required: In accordance with FINRA (the Financial Industry Regulatory Authority) requirements, any offer of employment is contingent upon the submission of fingerprints to FINRA, receipt of satisfactory fingerprint screening results, and the completion of a satisfactory FINRA pre-registration review.
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