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WELLS FARGO BANK-Lincoln
banking, or investments
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• State Insurance license(s)
Job...
Asgard Regulatory Group, LLC-Holbrook (NY)
to interpret and apply FINRA rules and SEC regulations in real-world scenarios.
Key Responsibilities
• Lead day-to-day compliance program management for broker-dealer and RIA clients
• Act in a lead capacity on client engagements and support or serve...
WELLS FARGO BANK-Carlsbad (NM)
banking, or investments
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• State Insurance license(s)
Job...
Horace Mann-United States
to ensure adherence to FINRA, SEC, and state regulatory requirements. This role provides critical compliance guidance, reviews business practices, conducts supervisory examinations, and supports the firm’s overall risk management framework.
Essential Job...
WELLS FARGO BANK-Charlotte
Industry Regulatory Authority (FINRA)Series 6 and 63 exams (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• State Insurance license(s)
Job Expectations:
• Ability to work a schedule that will include most...
Toss Securities US LLC-New York
of Tossʼs global expansion. Toss is
widely regarded as one of Koreaʼs most innovative fintech brands, and TSUS is actively building
its U.S. trading operations under FINRA regulation.
We are seeking experienced Compliance Manager to join our growing team...
Flagstar Bank-Smithtown
products and platform procedures Life and Health Insurance Licenses (required within the first 90 days in role. Failure to pass exam/or no attempt to take exam will result in removal from LBE program) FINRA Security Industry Essentials (SIE) (required...
mindmatch.ai -
USAA-Miami
to acquire within 90 days of hire.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory requirements...
Protective Life Insurance Company-Birmingham
proactive, solutionoriented advertising compliance guidance.
Prepare and submit required advertising filings to regulators, including Financial Industry Regulatory Authority (FINRA) Advertising Regulation and state insurance departments.
Monitor regulatory...
mindmatch.ai -
USAA-Tampa
to acquire within 90 days of hire.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory requirements...
Flagstar Bank-Lawrence (NY)
and mentor others, including products and platform procedures Life and Health Insurance Licenses (required within the first 90 days in role. Failure to pass exam/or no attempt to take exam will result in removal from LBE program) FINRA Security Industry...
mindmatch.ai -
USAA-Jacksonville
1 Life & Health license and required maintenance or ability to acquire within 90 days of hire.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass...
Larson Wealth Partners, LLC-Indianapolis
is required.
• Ability to adhere to rules and regulations as stated and required by Advisors and FINRA is required.
Larson Financial Group offers a generous employee benefits & perks package:
• Profit Sharing Bonus Program
• 401(k) Employer Match up to 4...
Protective Life Insurance Company-Birmingham
understanding of life insurance products, associated sales concepts, and case design.
• Sound technical literacy, including a basic understanding of illustration software, Excel, and PowerPoint. Experience with Microsoft Dynamics is considered a plus.
*FINRA...
CFS-Houston
covenant calculations
• Coordinate preparation of monthly FINRA FOCUS filings
• Reconcile cash accounts daily
• Review and authorize bill payments and employee expense reports
• Coordinate annual audits and assist CFO with conducting audits and working...
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