...To conduct risk-based examinations of FINRA member firms and registered representatives
Essential Job Functions:
* Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate...
Suggested
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...mutual fund family.
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state and other securities regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities...
Suggested
Full time
3 days per week
...responsible for responding to a broad range of regulatory examinations and inquiries from federal and state securities regulators, FINRA, and other SROs. The REI team also supports LPL's bank and credit union partners in responding to examination and audit requests related...
Suggested
Work from home
...management
* Regularly seek opportunities to use firm resources for peer sharing and collaborating with Financial Advisors
* Pursue FINRA registration by obtaining the SIE, Series 7, and Series 66, with a commitment to obtain all the required licenses within 12 months...
Suggested
Local area
...portfolio construction sales skills, and overall professional development.
* Obtain the SIE, Series 7, and Series 63 licenses with FINRA (Financial Industry Regulatory Authority) within first 90-180 days.
* Be the first point of contact to provide regional sales...
Suggested
Work experience placement
Internship
Local area
Flexible hours
...within the banking, capital markets and/or insurance industries (including thorough knowledge of the Basel Accord, Dodd Frank, FBO, FINRA, SEC, FinCEN, OCC, FDIC, CCAR, etc.) Experience should include at least 5 years of experience in one or more of the following:
* Audit...
Suggested
Local area
...Business or related and 8-10 years of relevant compliance experience at a registered investment adviser
* Series 3, 7, 24 and other FINRA licensing a plus.
* Significant experience with coding portfolios into the Charles River compliance system and the use of such...
Suggested
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
Suggested
Hourly pay
Holiday work
Full time
Traineeship
Home office
...~ Empathy
~ Training & Instruction
~ Customer Service
~ Time Management
~ Finance
~ Clerical & Administrative Work
Preferred Qualifications
Experience using DocuSign, Adobe Acrobat, Bridger, Red Oak, Red Ed, Smarsh, and LinkedIn
FINRA Series 3...
Suggested
Full time
Monday to Friday
...Description:
The Team
As a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales and...
Suggested
Remote job
Work from home
Flexible hours
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
Suggested
Hourly pay
Holiday work
Full time
Traineeship
Home office
...Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and...
Suggested
Contract work
For contractors
Work experience placement
...develop your career. \u00A0Note, the application window closes when the position is filled or unposted.
Certifications:
Series 07 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being...
Suggested
Work experience placement
Work from home
Flexible hours
...focus on driving growth across all SPS markets. In addition to playing an integral role in the SPS business, we also partner closely with other businesses across the Fidelity enterprise.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Category:
Consulting
Suggested
Remote job
...Work alongside compliance to produce marketing collateral in line with both internal Natixis polices and external policies set by FINRA, the SEC and other governing financial agencies.
Seek out and participate in regular product training via internal channels. Maintain...
Suggested
Permanent employment
Temporary work
For contractors
Internship
...objectives and deadlines.
Exceptional decision-making skills and ability to communicate effectively with senior management.
***** FINRA Series 99 and SIE licenses are required for this role and must be obtained within 90 days of hire. *****
Our benefits
To help...
Apprenticeship
Flexible hours
1 day per week
...Services, are required to send significant amounts of detailed trading data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group plays an integral role in ensuring that all trading activity has been accurately...
Work from home
Flexible hours
...Relationship Group, Marketing, Practice Management, Finance, Legal and Compliance among others.
Certifications:
Series 07 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being...
Temporary work
Work experience placement
Work from home
Flexible hours
...participate in the application or interview process, or to perform the essential functions of their job.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the...
Work from home
Flexible hours
...applicable rules and regulations to business unit personnel.
Maintains strong working relationships with outside regulators (SEC, FINRA, NFA). Coordinate compliance regulatory examinations, including inquiries and audits, and participate in the coordination of...
Temporary work
Flexible hours
...plans and 401(k)/403(b) plans.A Bachelors degree is required and an advanced degree is preferredFinra series 7 and 63 are required. Finra series 3 is preferred.CIMA, CFA, CAIA a benefit but not required.At BNY Mellon, our inclusive culture speaks for itself. Heres a few...
Flexible hours
...regulatory exams and prepare business leaders for reviews conducted by banking and investment advisor regulators, including the SEC, FINRA, FCA, CBI, SFC, MAS, ASIC, and the Federal Reserve
Manage a global team of approximately 50 Compliance officers built on a...
...management skills
~ Excellent analytical and modeling skills
~ Advanced Microsoft Office skills; Expert in Excel and PowerPoint
~ FINRA Series 79/7 and 63 licenses are required, or to be obtained within the first six months of employment
Location: Boston, MA...
Holiday work
Immediate start
Overseas
...compliance, audit and supervision required
* excellent understanding of US Wealth Management industry rules and regulations (e.g., FINRA, SEC, CFTC, NFA)
* a leader with a strong work ethic and attention to detail having good organizational and time management skills...
Part time
Work from home
Work visa
Work alone
Flexible hours
...the Senior Director, Product Management in conducting all testing related to Transparency Services applications in compliance with FINRA and/or SEC rules
Participates in Business Analysis functions such as design meetings, requirement gathering, and ongoing application...
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission
The function of this role is to ensure that member firms are complying with applicable rules and regulations
This role...
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
Remote job
...Qualifications
Financial Service Knowledge, specifically 401(k) & Wealth Management
Understand compliance and regulatory framework for FINRA and SEC regulated businesses
Some knowledge of Insurance and/or Employee Benefits
Bachelor's degree in Business Administration...
Full time
Local area
...about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Full time
Local area
Remote job
Work from home
Home office
Flexible hours
...about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Full time
Local area
Remote job
Work from home
Home office
Flexible hours
...about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Full time
Local area
Remote job
Work from home
Home office
Flexible hours