- SMBC (Jersey City, NJ)
- …regulatory examinations, and assist with responding to regulatory inquiries. Respond to FINRA and State regulators as needed **Qualifications and Skills** + At least ... to allow for benchmarking. + Deep knowledge of relevant FINRA , SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD,… more
- Neuberger Berman (New York, NY)
- …review background checks and advise on necessary exams + Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s, Form BR/BD, and NFA Form 8R/8T filings ... in internal systems and ensure compliance with recordkeeping requirements + Manage FINRA Gateway queues, reports, and information requests + Provide reporting to… more
- Principal Financial Group (Des Moines, IA)
- …education with shareholders and sales force. + This role is associated with FINRA and would require fingerprinting. While this level does not require FINRA ... licensing, further development within this department would require FINRA Series 6 or 7 licensing. + Perform other job-related duties or special projects as… more
- Principal Financial Group (Miami, FL)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). ... Preference for FINRA Series 7 & 66. **Successful candidates will have the following:** + Excellent communication, presentation, analytical, and interpersonal skills. + Successful history of accomplishments in education, retirement sales, or a related… more
- SMBC (Charlotte, NC)
- …to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance, FRB/OCC/FDIC Disaster Recovery testing). - Prepare and present ... practices. - Strong understanding of regulatory frameworks (eg, FRB, SEC, FINRA , NFA, CFTC, OCC). - Strong analytical, leadership, communication, and stakeholder… more
- Chandler Asset Management (San Diego, CA)
- …audit preparation in compliance with GAAP and regulatory requirements (ie SEC, FINRA ). Partner with third-party ESOP administrators and trustees to support the ... Finance, or a related field (CPA or MBA preferred) Licensing & Certifications: FINRA Financial and Operations Principal license (FINOP) required (Series 27 or 28)… more
- Principal Financial Group (Bozeman, MT)
- …on state/federal laws and/or company policy in accordance with current licensing policy: + FINRA Series 6 or equivalent and Series 63 or equivalent. Must meet firm ... standards for registration within applicable jurisdictions. + FINRA Series 24 (or 26) required within 3 months of employment. + You'll be required to become a… more
- SMBC (Jersey City, NJ)
- …and supervisory reporting map. + Review workflow queues and reports, eg, FINRA Web CRD. + Process fingerprinting and background check procedures. + Coordinate ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (Charlotte, NC)
- …approved Primary Dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB) trading securities and ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Principal Financial Group (Des Moines, IA)
- …combination of the following: work experience, training, military experience, education. + FINRA licensing required - licensed required within 6 months to handle all ... + Strong proficiency with business unit products, processes and systems. + Active FINRA license - SIE and Series 6. + Strong proficiency with retirement products,… more
- SMBC (New York, NY)
- …Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and applicability both verbally ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Ally (Austin, TX)
- …Risk Management (eg, testing and monitoring, financial controls/SOX, or audit) required * FINRA Series 7 & 63 preferred * Strong understanding of Invest FINRA ... rules and regulations and Invest operations processes highly preferred * High level of problem-solving capability and research-oriented skills. * Well-organized and thorough work ethic * Understanding of Financial Services industry, with an emphasis on Risk… more
- Principal Financial Group (Hartford, CT)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). + ... Resident Life and Health appointment must be attained. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales… more
- Principal Financial Group (Kansas City, MO)
- …specific industry experience (investment products, capital markets, partnering with advisors). + FINRA licensing required including SIE or equivalent and series 7 + ... Series 63 required within 45 days + Advanced designations preferred (eg, CFP(R), CFA(R), CIMA(R), CAIA(R)) + Excellent knowledge of investment products and financial markets required + Strong interpersonal skills, consultative skills, advisor management… more
- SMBC (Charlotte, NC)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- Principal Financial Group (Des Moines, IA)
- …grasp of the sales process and how to support producers in the field + FINRA Series 6 registration required (or ability to obtain within 18 months) + Ability to ... travel 4-6 times per year to company offices and events across the US + This role may be subject to SEC restrictions on personal political contributions **Why Join Principal?** We offer more than just a job-we offer the chance to make a lasting impact in the… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (Charlotte, NC)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (Jersey City, NJ)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
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