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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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Have 5+ years of relevant experience with BSA/AML Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.
$85,000 - $135,000 a yearFull-timeExpandUpdated Yesterday - UpvoteDownvoteShare Job
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Knowledge of Hedge Fund clients regarding business models, capital structures and regulatory matters MBA or advanced degree in finance or a related field FINRA Registrations Required: Series 7, 63, 79 Series 24 beneficial CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): Not applicable SEC Security-Based Swap Dealer Associated Person: Not Applicable The expected starting salary range for this position is between $340,000 to $417,000 annually.
$340,000 - $417,000 a yearFull-timeExpandUpdated Yesterday - UpvoteDownvoteShare Job
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FINRA SIE, Series 7, and Series 63 licenses (may be obtained within the first 3 months if needed) Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees.
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FINRA series 63 or 66 is required for this position and must be obtained within 30 days of hire. FINRA Series 7 License is required. Ideal candidate will take a client-centric, sales driven approach to partner with Registered Investment Advisors (RIA) and Broker/Dealers (BD) to drive mutual fund and other investment sales within the specified marketplace.
$100,000 - $150,000 a yearFull-timeExpandUpdated Yesterday - UpvoteDownvoteShare Job
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Demonstrable experience leading a compliance program at a broker-dealer, including strong working knowledge of FINRA Rule 2241 and various rules related to investment banking compliance and regulatory filing.
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CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus. Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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FINRA Series 7 and 63 and a clean record with no disclosures or a commitment to obtain licenses within the first few months of employment. The ideal candidate should have a comprehensive understanding of securities lending & capital markets and be driven, competitive, and eager to progress in sales.
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Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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FINRA SIE, Series 7, Series 63 preferred. Equity Capital Markets Sales Broker. FINRA SIE, Series 7, Series 63 preferred. Retail Equity sales department. Identifying and qualifying institutional and accredited investors (mutual funds, hedge funds.
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Preferred Professional Experience: Minimum 2 years experience in a compliance function or similar role Hold the Series 7 and 24 FINRA licenses or be willing to pass exams in a reasonable period of time.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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CPA, CFA, and/or FINRA Series certifications a plus. Carl Marks Advisors is an investment bank that provides financial and operational advisory services to companies across the middle market. CPA, CFA, and/or FINRA Series certifications a plus.
$95,000 - $140,000 a yearFull-timeExpandUpdated Yesterday - UpvoteDownvoteShare Job
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Meets FINRA requirements to retain SIE, Series 6 and 63 registrations, including but not limited to: annual training, understanding and complying with required reporting, and staying current on FINRA and broker dealer policies and procedures.
Full-timeExpandApply NowActive JobUpdated 3 months ago
finra job in New York, NY
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