). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed...
with Compliance and Legal teams in order to help ensure adherence to SEC, FINRA and firm regulations and guidelines Attend..., supervision, controls, risk or audit experience Minimum licensing requirement: FINRA Series 7 and Series 24 Strong attention...
Knowledge Regulatory landscape: FINRA, SEC, MSRB, GDPR, CCPA Market structure: trading hours, extended hours, market...
degree, GED, or foreign equivalent. The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration...
. Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. Must meet ALL US FINRA...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
-on work (data entry, tracking, reconciliation) while also building systems. Nice to Have FINRA Series 7 or Series 65...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
and ongoing mentorship Licensing support for: Life & Health Insurance License FINRA Series 7 and Series 66 Licenses Access...