through accurate record-keeping, drafting correspondence, and responding to FINRA inquiries. The Specialist will also provide... Affairs: Assist the Regulatory Affairs team in researching FINRA inquiries, compiling necessary information, and managing...
process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7...
behaviour, ranging from retail to institutional flows. FINRA Series 7 and SIE licenses required. Must have or able to obtain...
from all team members. Series 7 and 63 FINRA Licenses are required. Proficiency in Spanish is advantageous, reflecting...
is preferred. FINRA Requirements FINRA licenses are not required and will not be supported for this role. Work Flexibility...
and health licenses, SIE, FINRA Series 7 and 66 exams (other designations a plus) Results-driven, highly motivated, self-starter..., LLC, member FINRA, SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable Network, LLC, are Equal...
) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National...
requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...