Top 20 companies that use FINRA

2. JPMorgan Chase & Co.

How JPMorgan Chase & Co. uses FINRA:

• Managed monthly FINRA registration fee allocations and departmental expenses.
• Acquired Series 6 FINRA license and sold Chase mutual funds based on a customer-needs basis.
• Participated in compliance audits conducted by the firm and the Financial Industry Regulatory Authority (FINRA).

Most common skills for JPMorgan Chase & Co.:

• Customer Service
• QA
• Process Improvement
• Customer Inquiries
• Customer Accounts
• SharePoint

3. J.P. Morgan

How J.P. Morgan uses FINRA:

• Studied to obtain FINRA series 7 license to become an asset manager / portfolio manager for UHNW and institutional clients.
• Perform multiple time sensitive tasks Stay current with federal KYC and AML regulation as well as FINRA continuing education
• Licensed FINRA Series 7, Series 66, Life and Variable Annuity License, and State Insurance License.

Most common skills for J.P. Morgan:

• Securities
• Risk Management
• Due Diligence
• Project Management
• Client Relationships
• Java

4. Financial Industry Regulatory Authority (finra)

How Financial Industry Regulatory Authority (finra) uses FINRA:

• Coordinate and direct planning meetings, business activity calls, and strategy meetings with member firms and FINRA Management.
• Lead financial examinations and other reviews related to FINRA member firms finances, technology, and operations.
• Conducted onsite examinations of broker-dealer firms and branch offices to determine compliance with federal regulations and FINRA's rules.

Most common skills for Financial Industry Regulatory Authority (finra):

• Securities
• FINRA
• PeopleSoft
• Amazon Web Services
• Data Analysis
• Financial Data

5. Equitable Holdings

Most common skills for Equitable Holdings:

• Financial Products
• GAAP
• Direct Reports
• Client Relationships
• Life Insurance
• Scheduling Appointments

6. New York Life Insurance

How New York Life Insurance uses FINRA:

• Completed annual coursework and testing of the FINRA Bank Secrecy Act and Anti-Money Laundering.
• Obtained FINRA Series 7, 63 Licenses.
• Obtained FINRA Series 6 and 63 license along with life, health, and accident license.

Most common skills for New York Life Insurance:

• Financial Products
• Annuities
• Life Insurance
• Financial Services
• Cold Calls
• Term Care

7. Wells Fargo

How Wells Fargo uses FINRA:

• Studied and passed my first FINRA tests.
• Have successfully completed FINRA Series 6, 63, 65 and State Life Insurance exams.
• Reviewed and completed necessary reporting and compliance reports as required by FINRA and Corporate regulations.

Most common skills for Wells Fargo:

• Customer Service
• FHA
• Outbound Calls
• Loan Applications
• Bank Products
• Financial Products

8. U.S. Bank

How U.S. Bank uses FINRA:

• Interacted directly with FINRA, OCC, and SEC regulatory authorities during examinations.
• Maintained State and FINRA securities and insurance licenses for education.

Most common skills for U.S. Bank:

• Customer Service
• ATM
• Credit Card
• Loan Applications
• Bank Products
• Customer Accounts

9. Thrivent

How Thrivent uses FINRA:

• Hold current NE Life and Health Licensure, FINRA Series 6 and Series 63.
• Ensured team adherence to federal and state laws and compliance with FINRA regulations.
• Experience determining suitability based on FINRA and SEC guidelines.

Most common skills for Thrivent:

• Life Insurance
• Financial Products
• Annuities
• Customer Service
• Splunk
• Salesforce

10. Integrity Marketing Group

11. Lincoln Financial Group

How Lincoln Financial Group uses FINRA:

• Registered Representative under the Financial Industry Regulatory Authority (FINRA).

Most common skills for Lincoln Financial Group:

• Computer System
• Customer Service
• Annuities
• Customer Complaints
• HR
• Data Entry

12. Charles Schwab

How Charles Schwab uses FINRA:

• Obtained Series 7 and 63 licensing Customer Service Place Stock Trades for Customers Follow Company and FINRA Regulations
• Created a daily Sales report and managed daily sales activity of staff using my FINRA Series 8 Sales Supervisory license.
• Managed FINRA, NASD compliance, quality control and documentation for all stock, bond and option trades placed by team.

Most common skills for Charles Schwab:

• QA
• Business Development
• Project Management
• Securities
• B2C
• Test Cases

13. Western & Southern Financial Group

How Western & Southern Financial Group uses FINRA:

• Registered FINRA Financial Representative Investments, Life, Variable, Health and Critical Illness policy sales.

Most common skills for Western & Southern Financial Group:

• Annuities
• Cold Calls
• Financial Analysis
• Financial Products
• Data Analysis
• Quality Customer Service

14. Teachers Insurance & Annuity Association of America

Most common skills for Teachers Insurance & Annuity Association of America:

• Compliance Policies
• Client Satisfaction
• Corporate Governance
• Financial Statements
• Wealth Management
• Business Process

15. T. Rowe Price

How T. Rowe Price uses FINRA:

• Complied with all FINRA, IRS and SEC laws and guidelines.
• Obtained FINRA Series 6, 7, and 63 licenses.

Most common skills for T. Rowe Price:

• HTML
• Mutual Funds
• Java
• Customer Service
• Securities
• Project Management

16. Citi

How Citi uses FINRA:

• Identified Financial Industry Regulatory Authority (FINRA) regulatory training requirements and deployed the training online to more than 1,000 brokers/dealers.
• Responded to regulatory inquiries from government regulators (SEC, NYSE, FINRA, etc).

Most common skills for Citi:

• Customer Service
• Project Management
• Outbound Calls
• UAT
• Unix
• Credit Card

17. Bank of America

How Bank of America uses FINRA:

• Achieved FINRA Series 7 & 66 licenses within first 3 months.
• Reason of separation: Recruited by West Corp) FINRA 7, 66 and Life & Health Insurance Licensed.

Most common skills for Bank of America:

• Customer Service
• SharePoint
• Credit Card
• Process Improvement
• FHA
• Sigma

18. First Command Financial Services

Most common skills for First Command Financial Services:

• Life Insurance
• Annuities
• Gap Analysis
• MDM
• Securities
• Project Management

19. Horace Mann

Most common skills for Horace Mann:

• Process Improvement
• Body Shop
• Business Strategy
• SAN
• Vehicle Repairs

20. Morgan Stanley

How Morgan Stanley uses FINRA:

• Work with compliance to maintain sales credit guidelines and Regulatory for TRACE/TRAQS reporting to FINRA.
• Ensured satellite office compliance with industry requirements and FINRA (formerly NASD) and SEC regulations.
• Oversee the marketing review from an investment advisory and FINRA perspective.

Most common skills for Morgan Stanley:

• Securities
• Java
• Risk Management
• SharePoint
• Fixed Income
• Derivative