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Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Thorough understanding of the rules, regulations, and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements pertaining to marketing and advertising in a retail broker/dealer environment.
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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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The Summit Financial Advisors program is available through a partnership with TruStage and LPL Financial, the largest independent broker-dealer in the U.S. Officially an employee of TruStage, you'll be supported by this strong, combined partnership with over 200 years of experience and the resources of all three highly reputable companies.
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Colleague is responsible for assisting CNS Branch Manager with daily supervision of Broker Dealer and Investment Advisory activity. Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance, and Client Support for Broker Dealer activities.
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Follows the established securities and insurance compliance guidelines, and strictly adheres to all Credit Union, TFA and broker-dealer policies where appropriate. Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Process new account applications, financial and maintenance requests (copy, mail, scan, upload to broker dealer platform). 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.
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Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO. At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for a regulator overseeing broker dealers or investment advisers.
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The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs.
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Commercial Broker Dealer Chief Compliance Officer - Sr. Director. FINRA (Financial Industry Regulatory Authority) licensed with valid Series 7 and Series 24 or Series 14. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
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Developing and managing broker-dealer relationships. Dodge & Cox also provides additional benefits such as commuter, health & wellness, backup care, matching gift, employee assistance, and life and disability insurance.
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Keywords:Parts Sales, Parts management, Parts Inventory management, Parts counter assistance, Automotive parts manager, Auto Parts Manager, Dealer Parts Manager, Dealership parts manager, Car Parts manager, Parts ordering, Dealer Parts, Auto Parts, Car parts, Managing auto parts, Automotive parts, Dealership Parts, Part driver, Parts delivery, parts drop off, parts delivery driver.
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Successfully maintains: Series 7, Series 66, Life, Accident, and Health Insurance Licenses, and State specific securities and investment licenses. Successfully completes: Series 7, Series 66, Life, Accident, and Health Insurance Licenses, and State specific securities and investment licenses.
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2+ years of experience in life insurance, InsurTech, and/or financial services (broker dealers, banks and/or insurance distribution) Covr Financial Technologies is a well-funded, venture capital-backed company with a market leading insurance-as-a-services platform (InsurTech) that simplifies the buying process for life, long-term care, and disability insurance products sold through financial and wealth management advisors, banks, credit unions, RIAs, consumer brands and fintech channels.
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If you hold securities and/or insurance licenses you may offer securities and other products and solutions through our affiliated broker dealer and the Registered Investment Advisor (RIA.
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life insurance broker dealer assistant manager jobs Title: financial advisor in TN, Us
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