- Santander US (Miami, FL)
- SEC/ FINRA Regulatory Controls & Operational Oversight - VP Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator ... team to review, monitor and track controls related to SEC/ FINRA regulations. * Work with control team to ensure...to help assess and escalate identified issues related to SEC/ FINRA regulatory controls. 5. Change Management * Partner with… more
- Wells Fargo (Miami, FL)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Miami, FL)
- …work experience, training, military experience, education **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify ... if necessary + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations or equivalent must… more
- Wells Fargo (Sun City Center, FL)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- TD Bank (St. Petersburg, FL)
- …learn from the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more
- JPMorgan Chase (Tampa, FL)
- …part of our centralized team as an expert in marketing-related obligations (eg, FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC, FTC etc), ... guidance on marketing-related regulatory topics, industry developments and regulations (including FINRA , SEC, CFPB, FTC etc.). + Conduct compliance assessment of… more
- Equitable (Tampa, FL)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Base...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
- Equitable (Tampa, FL)
- …level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base + Must pass ... FINRA Series 24 exam prior to stepping into leadership...+ Columbia Holistic Financial Coach Program + Sponsorship for FINRA licensing + Working closely with top leadership thru… more
- Coinbase (Tallahassee, FL)
- …This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker-dealer) in meeting its regulatory obligations to assist the Product ... with the principals to design and document the firm's supervisory structure ( FINRA Rule 3110) to effectively supervise all business activities and associated… more
- Equitable (Orlando, FL)
- …level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base * Must pass ... FINRA Series 24 exam prior to stepping into leadership...* Columbia Holistic Financial Coach Program * Sponsorship for FINRA licensing * Working closely with top leadership thru… more