requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more

required Licensing FINRA Series 7 FINRA Series 24 a plus Certification Professional certification or in progress Core Professional Knowledge - working knowledge of the following... more

procedures to comply with SEC, NYSE, and FINRA regulations as well as the Global ... with specific knowledge of SEC, NYSE, and FINRA regulations relating to communications... more

with existing MetLife clients (may require FINRA registration). . Ability to understand ... Job Preferences: . Appropriate FINRA Licensing and Registration: L/H,... more

experience required LicensingFINRA Series 7 FINRA Series 24 a plus Certification Professional certification or in progress Core Professional Knowledge : working knowledge of the... more

rm agreements, reviewing marketing materials, broad based Investment Advisory/Investment Company compliance advice as well as knowledge of FINRA rules & regs. This is a broad... more

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more

experience required LicensingFINRA Series 7 FINRA Series 24 a plus Certification Professional certification or in progress Core Professional Knowledge - working knowledge of the... more

law, rules and regulations (including SEC, FINRA, CFTC, NFA) and the firms internal ... with the firms regulators (SEC, FINRA, CFTC, NFA, NYSE), internal and... more

Regulators including, but not limited to, FINRA, SEC, OCC, Treasury, Federal Reserve, ... with Regulatory rules (E.g., SEC, and FINRA) associated with fixed income... more

system * Assure compliance with SEC and FINRA rules and regulations regarding securities transactions to limit financial exposure * Provide service to clients and registered... more

required Licensing FINRA Series 7 FINRA Series 24 a plus Certification Professional certification or in progress Core Professional Knowledge - working knowledge of the following... more

orientation to implications associated with FINRA/NASDAQ ACT, OATS, TRACE Work with subject matter experts in key areas of securities operations across buy-, and sell-side... more

meet SEC Rule 17(a)-4 and FINRA 3010 requirements.  12. Assist with examinations and ... Professional experience with the SEC and or NASD/FINRA is highly desired. more

ons. Bachelor's degree is prefered Candidate should have 2-3 years experience in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to FINRA... more

strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... experience * Strong knowledge of SEC and FINRA rules and regulations * Experience... more

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You will also be required to demonstrate technical expertise, strong sales results in investments... more

and Exchange Commission. We are a member of FINRA, Inc., the United States regulator of investment banking firms, and SIPC. We are also appropriately registered with the... more

the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, and Federal Reserve * Proficient understanding of the internal audit... more

tential sale and cross-sale opportunities. College Degree, either BA or BS . One year of prior Sales / Marketing experience is preferred. FINRA Series 7 and 66 required (or must... more

of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations, Finance and Securities Lending. In addition, working knowledge of Regulation... more

of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations. In addition, working knowledge of Regulation W, and 23 A and B. Good... more

FINRA is seeking a well qualified individual for our CSE Examiner, Senior Examiner, Associate Principal Examineror Principal Examiner opening in New York, New York. To be... more

Financial Industry Regulatory Authority (FINRA) is the largest non-governmental ... registered securities representatives. FINRA has approximately 3,000 employees and... more

strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... experience * Strong knowledge of SEC and FINRA rules and regulations * Experience... more

experience. -Hold the following licenses: FINRA Series 7 AND (within 12 months of ... FINRA Series 26 -or- Series 24, FINRA Series 63 -Relevant State... more

is preferred and relevant professional FINRA securities designations are a plus. If ... of us: state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more

Two (2) to three (3) years bank/departmental experience ~Knowledge of check, wire, Hogan and general ledger processing and related issues ~Willingness to obtain insurance and... more

Options Sales Trading: - current FINRA Series 7, 63 licenses; - significant track record of success in building, nurturing and leveraging industry relationships to generate... more

procedures to comply with SEC, NYSE, and FINRA regulations as well as the Global ... with specific knowledge of SEC, NYSE, and FINRA regulations relating to communications... more

their friends, colleagues and associates. * FINRA Series 6/7, 65/66, 24 Registration(s) * MBA, JD, CFP, CPA or ChFC are advantageous. * Integrity, a dedicated work ethic and the... more

associated with FINRA/NASDAQ ACT, OATS, TRACE • Work with subject matter experts in key areas of securities operations across buy-, and sell-side clients, to define critical gaps... more

orientation to implications associated with FINRA/NASDAQ ACT, OATS, TRACE . Work with subject matter experts in key areas of securities operations across buy-, and sell-side... more

from all over the world. We are members of FINRA, SIPC, NFA and NYSE Euronext. Thanks to our strong Internet heritage and clearing relationship with Bank of New York's Pershing,... more

Wholesaler. WHO YOU ARE: You MUST possess a FINRA Series7 or Series 22 license. You are an experienced wholesaler of Private Placements (Oil & Gas, Real Estate, Equipment Leasing... more

TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more

MetLife products and procedures preferred FINRA Series 7 and 24, Series 53 preferred Additional competencies: change agent, verbal and written communication skills, computer... more

/ securities business lines Knowledge of FINRA regulations Excellent communication skills written and oral Team player ability to hit the ground running Bachelors Degree is... more

environment with respect to FINRA and the SEC.- Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting. - Prior... more

Regulatory team on required disclosures for FINRA and FOCUS reportings.- Assist in the integration of Lehman process to BarCap environment.-Ad Hoc analysis as required by... more

Senior Management of M&T Securities and FINRA examiners, and internal and external ... meet the changing regulatory environment- FINRA Series 7, 24, 53, 63 and Life,... more

Regulatory team on required disclosures for FINRA and FOCUS reporting. Ad Hoc analysis as required by management. Requirements: 5 to 7 years of financial services industry... more

from all over the world. We are members of FINRA, SIPC, NFA and NYSE Euronext. Thanks to our strong Internet heritage and clearing relationship with Bank of New York's Pershing,... more

of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations. In addition, working knowledge of Regulation W, and 23 A and B. Good... more

Regulatory team on required disclosures for FINRA and FOCUS reportings. - Assist in the integration of Lehman process to BarCap environment. -Ad Hoc analysis as required by... more

communication and organizational skills FINRA Series 6and/or 7, 63 licensing in addition to meeting and exceeding FINRA continuing education requirements and the appropriate state... more

d their financial futures while you build your own. Apply now for immediate consideration.AXA Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC. AXA Advisors, LLC is an... more

is preferred and relevant professional FINRA securities designations are a plus. If ... Advisors: state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more