regulations related to products and continuing education requirements required by FINRA. 10. Serve as an advocate of the client... essential functions. 1. Hold FINRA Series 7 & Series 63 or 66 and maintain continuing education coursework to keep licenses...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
, Technology, and field teams. Interpreting new FINRA directives and assessing their impact on firm policies and procedures...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
: Strong communication and interpersonal skills. Goal-oriented with a desire to succeed. Life insurance license and FINRA certifications...
as job-specific technical skills. This role is located in the New York office. This role is regulated by FINRA This role...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...