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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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Series 07 - FINRA, Series 63 - FINRA. The VP, Partnership Manager will play a meaningful role as an ambassador for Fidelity's brand in the equity compensation marketplace. The ideal candidate will have relationships with the equity compensation ecosystem serving public and late-stage private companies.
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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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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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This role also directs FINRA’s appellate attorneys in defending FINRA’s final actions in NAC decisions and other FINRA actions that are appealed to the Securities and Exchange Commission. Communicate complex and sensitive appellate matters to senior FINRA executives.
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Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed. Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel.
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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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A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance licenses (Life, Health, and Variable) must be active and maintained, or must be obtained within 100-150 days of job entry date.
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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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. 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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Oversee FINRA compliance for US regulated subsidiaries. Oversee FINRA compliance for US regulated subsidiaries. The Associate General Counsel and Assistant Corporate Secretary will lead and manage the corporate, securities and governance law function for the company.
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Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 66 - FINRA. We require an active Series 9/10, 7 and 66 licenses. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA Company Overview. Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA Company Overview. Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire.
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FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required. FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required.
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Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations. Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm's trading controls.
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