FINRA’s Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory..., and will demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws...
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk... and Deception, Money Laundering, and Market). Knowledge Requirements: Advanced knowledge of FINRA's risk fundamentals...
across FINRA’s Risk Monitoring, Firm Examination, National Cause and Financial Crimes, Enforcement, and Technology departments. The... of FINRA's risk fundamentals. Intermediate knowledge of securities rules and regulations. Intermediate knowledge...
. FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66... FINRA Series 4 license General Description of Available Benefits for Eligible Employees of Truist Financial Corporation...
and maintain their series 6 and 63 FINRA securities licenses. Job Responsibilities: Educates employees on account information... and collaboration opportunities with other business units as needed. Job Requirements: Bilingual (English / Spanish) FINRA Series...
transformation Registered Representative - Analyst I- FINRA Required Essential Job Functions- · Provides service via inbound.... · Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing...
transformation Registered Representative - Analyst I- FINRA Required Essential Job Functions- · Provides service via inbound.... · Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing...
transformation Registered Representative - Analyst I- FINRA Required Essential Job Functions- · Provides service via inbound.... · Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing...
transformation Registered Representative - Analyst I- FINRA Required Essential Job Functions- · Provides service via inbound.... · Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing...
less experienced staff. Support QA function for general service teams and enhanced QA review required for FINRA registered associates... performing transactions on products with Variable investment feature (FINRA governed) as needed/assigned. Basic Qualifications...