FINRA Jobs in Bensenville
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self...
and complete all mandatory training in a timely manner including continuing education for FINRA licenses
Education & Experience:
Four or more years related experience and/or training.
Certificates & Licenses:
This job requires the FINRA Series 7, 63, and 66...
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self...
- Please provide your resume, a list of relevant completed M&A & Capital Raising transactions and your active FINRA licenses....
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self...
Authority (FINRA), Federal Reserve.
Technical Skills: [Required] Microsoft Office applications
[Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) softwareEducation and/or Experience: Bachelor’s degree (or equivalent...
- Experience with MS Excel and Word, and the internet, required.
- Experience with a financial planning software program(s) preferred.
Certificates, Licenses, Registrations:
- Required: FINRA Series 7/66, or 63/65...
in use of Bloomberg and Excel
SIE, FINRA series 7 and 63 licensures required (or within 90 days of hire)
Ability to work non-traditional work hours as needed and attend business related events
Benefits
Health Care Plan (Medical, Dental & Vision...
- Ensure compliance with SEC, FINRA, NFA, CFTC and other regulatory requirements
Corporate Administrator Requirements:
- Experience with highly regulated industries and compliance
- Bachelors degree or equivalent...
CPA certifications a plus
- Understanding of regulations and/or banking regulations (e.g., TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.)
- Understanding of FINRA and SEC rules...