Are you a business? Hire finra candidates in Englewood, NJ
Experience with FINRA Gateway system required * Experience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus
FINRA licenses highly recommended 7,24 or 27. * A preference would be to have Chinese language skills.
... FINRA rules, and may involve delving into accounting concepts, foreign laws and other areas such as capital, clearing or margin. The role will entail: o working closely with other attorneys in ...
Specific working knowledge of SEC, FINRA, NYSE, DTCC, OCC and NFA rules and regulations; * Demonstrated ability to communicate effectively at all levels across the organization; * Strong analytical ...
FINRA experience is preferred. Your responsibilities will include performing legal research, drafting legal documents, assisting with discovery, and appearing in FINRA arbitration or court ...
The successful candidate is a fully registered sales assistant holding a Life, Accident & Health Insurance License, FINRA Series 7 & 66 (or 63/65 combo) with 3 or more years in the investment ...
FINRA 3120 Testing Analyst Location: New York City/New Jersey /Hybrid (4/1) Firm Overview: BGC Partners is a leading global brokerage and financial technology company. BGC specializes in the ...
Broker-Dealer, FINRA Series 7, 24, 14, 53, and/or 79. Key Tasks - Manage all FINRA Gateway related items, including registrations, responses, Form U4, Form U5, monitoring of FINRA reports, handling ...
Strong knowledge of SEC and FINRA marketing and advertising rules and best practices * Minimum of 7 years of industry experience, including compliance experience relating to applicable rules and ...
Ensure compliance with all relevant regulations, including SEC and FINRA rules. * Assist in maintaining and enhancing the firm's compliance program. * Perform regular reviews, audits, and assessments ...
Equitable Advisors, LLC, (NY, NY 212-314-4600) member FINRA, SIPC (Equitable Financial Advisors in MI & TN) // Equitable Network, LLC // Equitable Network Insurance Agency of California, LLC
Knowledge of compliance rules and regulations (such as FED, NYDFS, SEC, CFTC, FINRA) * Understanding of regulatory and compliance obligations for a Foreign Bank Organization (FBO) operating in the U
Functional knowledge of the US fixed income and derivative trading regulatory framework, the '33 Act and the '34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange ...
The path to becoming a Financial Professional begins with the Pre-Contract CDP Affiliate phase, during which you will study towards obtaining the required FINRA and resident state licenses, with the ...
Role Description We are seeking a visionary and experienced Chief Operating Officer (COO) to join our leadership team at Long Bridge Securities, a FINRA-licensed retail broker-dealer firm. The COO ...
... FINRA rules, Investment Company Act, Securities Act, and ERISA · Partner with business, operational and risk teams through all stages of the development of new advisory initiatives, including ...
Monitor and enforce compliance with FINRA, SEC, and other relevant regulations. * Supervisory Role: Oversee and review the work of compliance staff, providing guidance and training as needed to ...
Strong understanding of Risk Calculation, Derivatives Pricing, and financial regulations (e.g., Dodd-Frank, FINRA). * Experience with Fixed Income products and financial trading systems. * Strong ...
Knowledge of Broker Dealer regulations (SEC, FINRA, CFTC). * PMP or similar certification is a plus. * Strong leadership, organizational, and problem-solving skills. * Proficiency in project ...
As a senior developer for global regulatory technology, you'll be working on multiple regulatory projects (CFTC, NFA, FINRA, MiFID II, EMIR, Trade Surveillance), collaborating with the team ...
Provide advice regarding regulatory matters appropriate for a wealth management and asset management business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities ...
The candidate must be fully knowledgeable of: - FINRA and SEC guidelines, rules and regulations - Reg T margin requirements - Pattern Day Trading rules - Corporate Actions - Trade settlement / Trade ...
... and/or FINRA knowledge a plus Basic understanding of monitoring conflicts, securities laws applicable to insider trading and market abuse Background or knowledge of relevant investment ...
