: Ensure that all technology solutions comply with industry regulations, such as GDPR, SEC, and FINRA guidelines. Collaborate...
work experience. -Preferred Life, Accident, Health & FINRA Series 6 or 7 license required (within 6 months of hire...) Knowledge of life insurance and investment products, SEC, FINRA, IRS and state insurance regulations Strong technical...
skills will help you succeed in this role FINRA Series 7 and 63 Required, MBA or CFA Preferred 5+ years of industry...
, proactive, and creative;uses sound judgment and navigates ambiguity to get things done FINRA Series 79, 63 and Securities...
experience in investment management, financial and/or regulatory compliance, or related fields(FINRA, SEC, white-collar...
, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles...
things done FINRA Series 79, 63 and Securities Exam Essentials licenses required or must obtain within 180 days of hire...
done FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire Preferred...
with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance... and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the...
reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance...