. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
, or a related field; or a combination of relevant education and experience (minimum of five years). Licensing: Current FINRA Series...
to regulatory entities. Ensure accurate data delivery to the inquiries for all business lines including requests from SEC, FINRA... What You'll Bring: Familiarity with SEC, FINRA, MSRB rules/regulations, industry practice and how they apply to Stifel...
requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
and/or sweep examinations, including third-party subpoenas, from the SEC, CFTC, FINRA, CBOE, Securities Exchanges, and State... with Securities Industry Regulators (FINRA, BATS, SEC, CFTC, NFA, CME, ICE, etc.) is required. Ability to understand/manage...
Sales management and business development skills FINRA Series 79, 63 and Securities Exam Essentials licenses...
analytics a plus Experience working with financial advisors FINRA licensed or willingness to get fully registered (SIE, 7...