- Locations: New York, Texas, North Carolina, Colorado, Florida
- Related Keywords: Licensing, Licensing Registration, Registration, Securities
- Global Markets & IB Compliance Executive
- Bank of America (New York, NY)
- ...coordinate regulatory examinations, meetings and other interactions by the securities and banking regulators of the various Bank of America...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Global Markets & IB Compliance Executive
- Unknown (New York, NY)
- ...coordinate regulatory examinations, meetings and other interactions by the securities and banking regulators of the various Bank of America...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Customer Service/ Sales
- Kelly Financial Resources (Portland, OR)
- ...TRAINING COURSES, LICENSING AND PROGRAMS o Successfully complete and maintain all state, federal and State Farm requirements including licensing and securities registration - to market and service designated State Farm products and services o Remain current in all product...
- Compliance Specialist - Licensing , Registration & Regulatory Filings
- ING Financial Services (Hartford, CT)
- Job Title Compliance Specialist - Licensing , Registration & Regulatory Filings Requisition # 16015BR Business Unit...for the annual renewal of the broker/dealer with FINRA/CRD and state securities division 8. Responsible for coordinating New Hire Orientation for new...
- Quality Assurance Analyst
- American International Group (Atlanta, GA)
- ...Assurance Analyst you will be responsible for supporting the Registration & Licensing staff through reporting of...network of registered representatives, independent broker-dealers, national and regional securities firms, banks and insurance agencies. The six major...
- Quality Assurance Analyst
- Advisor Group (Atlanta, GA)
- ...Assurance Analyst you will be responsible for supporting the Registration & Licensing staff through reporting of...network of registered representatives, independent broker-dealers, national and regional securities firms, banks and insurance agencies. The six major...
- Counsel
- ING Financial Services (West Chester, PA)
- ...all documentation including product specs, contract form, administrative forms, system requirements, policies and procedures, training and marketing materials. ? Securities /SEC Registration Statements - bring effective and maintain the SEC registration statements - draft disclosure...
- Branch Manager
- Ameriprise (Centreville, VA)
- ...24 - Genl Secur. Princp / Series 63 - State Securities / Series 65 - State IAA/IAR / Series66 About Ameriprise...etc. and adequate disclosure was provided. Ensure employees fulfill applicable licensing , registration and compliance requirements; adhere to firm's policies...
- Branch Controls Director - Wisconsin
- AXA Advisors (Milwaukee, WI)
- ...related to sales, client transactions and communications, training, marketing/advertising, licensing and registration , et al. * Assist Branch...* Ensure state and federal requirements are met for securities and insurance regulations. * Supervisory approval of AXA Network...
- Branch Controls Director - Wisconsin
- AXA Equitable (Milwaukee, WI)
- ...related to sales, client transactions and communications, training, marketing/advertising, licensing and registration , et al. Assist Branch...clients Ensure state and federal requirements are met for securities and insurance regulations. Supervisory approval of AXA Network...
- Compliance Officer
- JPMorgan Chase (Columbus, OH)
- ...regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner....(Equivalent combination would include 6 years of progressively responsible compliance/ securities industry experience. * With a Bachelor's degree; a minimum...
- Paraplanner
- Ameriprise (High Point, NC)
- ...Accident & Health / Life / Series 6 - Limited Securities / Series 63 - State Securities / Series66-C...quality improvement and efficiency solutions for the advisor's business. Maintain licensing , registration , continuing education and financial planning requirements for...
- Move Before The Year Ends & We'Ll Cover Your State Registrations, Leads Will Be Provided Free Of CHA
- Weinberg Financial Services (Westbury, NY)
- ...REGISTRATIONS, LEADS WILL BE PROVIDED FREE OF CHARGE. Stock Broker, Securities Broker & Financial Advisor combines personal skills with all of...of successful work experience. a€ cents Series 7 and 63 registration , and additional licensing needed to assist in building...