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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
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Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance, and Client Support for Broker Dealer activities. Colleague is responsible for assisting CNS Branch Manager with daily supervision of Broker Dealer and Investment Advisory activity.
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Ameriprise Financial has an opportunity for a Vice President of Broker Dealer and Holding Company Financial Reporting to join our team! 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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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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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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David Walters Yachts, a leading brokerage firm with 40 years in the business, is seeking a full-time, experienced Yacht Broker to join our team of top-tier professionals. Our team enjoys the support of full-time administrative staff, a marketing manager, a dedicated information technology and web development team, and a highly experienced in-house closing agent.
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The CSI Principal Control Professional is responsible for conducting supervisory reviews of submitted new account, options, and margin applications; investment and insurance business, and independently decides on approving/declining submitted transactions on behalf of the broker-dealer.
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Winter Break - In addition to our PTO package, J.Crew Group offers a winter break at the end of December to eligible full-time associates at the Home Office to provide time to refresh and recharge.
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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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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 Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
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HEI also provides pet insurance through the ASPCA. For your financial wellness, HEI provides a wide array of coverage, including Supplemental, Spousal and Child Life insurance as well as Short and Long-Term Disability plans.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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This position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area.
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Avantax Wealth Management offers services through its registered broker-dealer, registered investment advisor (RIA), and insurance agency subsidiaries and is a leading U.S. tax-focused independent broker-dealer that works with a nationwide network of Financial Professionals operating as independent contractors.
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life insurance broker dealer full time jobs Title: financial advisor in TN, Us
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