Average salary: $210,000 /yearly
More stats ...environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title
Regulatory Reporting Associate - FINRA
Job Description
* Ensuring accuracy, validity and completeness of all documentation necessary to meet organizational, industry,...
Suggested
Full time
...plus.
* Moderate securities, compliance or financial regulatory experience
Knowledge Requirements:
* Intermediate knowledge of FINRA's risk fundamentals
* Intermediate knowledge of securities rules and regulations
* Intermediate knowledge of firm business...
Suggested
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...communicate financial information in a concise and accessible manner to non-finance personnel and management
~ Knowledge of SEC and FINRA regulations
~ Brokerage experience, trading environment experience preferred but not required
Additional Information...
Suggested
Full time
Immediate start
Work from home
Flexible hours
...response letters, obtaining necessary supervisory approvals, and coordinating with other Regulatory Operations (RegOps) groups and FINRA’s Office of Oversight Liaison and Counsel (OLC) to make timely and accurate productions.
Manages responses to requests from federal...
Suggested
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
Remote job
...deadlines
equities &/or fixed income experience in either a front office or control position role
regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc.)
project Management skills
proficiency in Microsoft Excel, Word and PowerPoint
Primary Location...
Suggested
Holiday work
Full time
Local area
...Degree in a related field.
~ Experience identifying compliance issues and operational risk concepts.
~ Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules
Preferred Skills and Qualifications
Strong written and verbal...
Suggested
Worldwide
...all DTC trades in a timely matter and ensure that all is reflected in internal Phase 3 system
Ensure that all actions are SEC and FINRA rule compliant
Action RAD screen for incoming receives, compare to Phase 3 fail report and approve item
Monitor RAD deliveries...
Suggested
Holiday work
Currently hiring
Flexible hours
...Experience with GRC tools
~ Experience establishing framework in accordance with industry best practices
~ Knowledge of compliance laws, FINRA rules & regulations, risks and controls
~ Excellent writing and communication skills with strong attention to detail
~ Ability...
Suggested
Holiday work
Flexible hours
...Senior Project Manager - FINRA 4210
The role will be part of a central FINRA 4210 Program Management Team, charged with ensuring the timely execution of deliverables across all workstreams whilst imparting subject matter expertise and know-how. The candidate must be...
Suggested
...Nationally recognized law firm is seeking an Associate Attorney for the securities group in NY with 2-5 years of experience. FINRA experience a plus but not required.
This Jobot Job is hosted by: Erika Teer
Are you a fit? Easy Apply now by clicking the "Apply Now...
Suggested
Flexible hours
...* Experience working across middle and back office supporting trade flow and street comparisons.
* Experience with WorkX (ACT), FINRA ORF, RTTM, OCC Encore, OW, NSCC/DTCC.
* Good organizational and multi-tasking skills to help oversee many different functions are...
Suggested
The Business Risk Officer - Central Review Unit Supervisory Principal role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Registered Representatives. Applies in...
Suggested
Full time
Offshore
...fast-paced team environment.
The Expertise and Skills You Bring
~12+ years of Brokerage Operations experience required.
~ FINRA Series 7 required; within 90 days of hire.
~ Operational experience supporting international processing required.
~ Functional experience...
Suggested
Work from home
Flexible hours
...learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Certifications:
Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 24 - FINRA, Series 63 - FINRA
Category:
Brokerage Operations
Suggested
Work experience placement
Work from home
...regulations.
The Expertise and Skills You Bring
~10+ years of working in treasury, cash management and/or banking services
~ FINRA Series 99 required within 90 days of hire
~ Proven understanding of banking operations, money movement, brokerage regulations, and...
Suggested
Work from home
Flexible hours
...tasking in a remote and multifaceted financial services center
\u00B7 Growth Mindset and an appetite for endless learning
\u00B7 FINRA Licenses are preferred but not required.
The Team
As a member of the Client Experience Team, you will take on the role of a...
Work experience placement
Remote job
Work from home
Flexible hours
...regulations.
The Expertise and Skills You Bring
~10+ years of working in treasury, cash management and/or banking services
~ FINRA Series 99 required within 90 days of hire
~ Proven understanding of banking operations, money movement, brokerage regulations, and...
Work from home
...and fast-paced team environment.
The Expertise and Skills You Bring
~8+ years of Brokerage Operations experience required.
~ FINRA Series 7 required; within 90 days of hire.
~ Operational experience supporting international processing required.
~ Functional experience...
Work from home
Flexible hours
...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...
Work from home
Flexible hours
...Paid Vacation, Sick Time, Holidays, Volunteer Time Off
~ Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
~ FINRA and Professional License Sponsorship
~ Charitable Donation Matching Contributions
~ Travel & Employee Assistance and Employee Discount...
Holiday work
Permanent employment
Temporary work
Remote job
Flexible hours
...expectations for information/communication.
A strong understanding of technology and/or financial services industry. Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
Deadline-driven and results-oriented; able to meet consistently high-quality...
Full time
Work experience placement
Flexible hours
...acts as a lead, on applicable Governance Committees.
Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
Partner with external...
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...results
~ High school degree, GED, or foreign equivalent
~ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed applicants must...
Immediate start
Felony friendly
Afternoon shift
...similar capacity.
Strong verbal and written communication skills are required.
Ability to interpret the Sales Practice Manual, FINRA Rules and Notices to Members, Compliance notices, and other publications concerning broker/dealer regulations.
Must be proficient...
Full time
Remote job
...experience, preferably conducting review of transactions, exam findings, surveillance follow up and outside business activity approval.
~ FINRA Series 7, 24, 53, 66 (or 63 / 65) are required.
~ Good written and verbal communication skills.
~ Required technical strength to...
Full time
Remote job
Home office
...supervision/compliance
~2 years of related experience conducting suitability review of transactions
~ Understanding of relevant FINRA and SEC rules and regulations.
~ Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments...
Full time
...task and work in a fast-paced team environment Self"driven and independent worker with a sense of urgency and drive towards results FINRA SIE, Series 7 and 66 preferred, or willingness to take both exams within the required time frame Life and Health Insurance license,...
Work experience placement
...PowerBI is a plus.
· Language: Spanish is a plus.
Preferred Qualifications:
· Master’s degree preferred.
FINRA Registrations Required:
~ Not Applicable
CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required...
Permanent employment
Contract work
Temporary work
...quotas
Experience in a consultative selling environment
Familiarity and comfortability operating in a longer-term sales cycle
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...
Permanent employment
For contractors
...sales support across the desk.
Requirements
5+ years of experience in a similar role with demonstrated sales experience.
Active FINRA Series 7 and 63 licenses.
Expertise and knowledge in the US Treasury market.
A client book of business that will transfer to...
Holiday work
Permanent employment
Temporary work
Work experience placement