CRISC Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations. Project Management Professional/Program...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
and the division. **For FINRA licensed colleagues:** Review asset management and CNS Brokerage statements with clients...
AND 8+ years relevant work experience This role requires FINRA Series 7 & 63 licenses Willingness to travel 50-55... Team player FINRA Requirements FINRA licenses are required and will be supported for this role. Work Flexibility...
and relevant experience AND 8+ years of total relevant work experience FINRA Series 7, 63 The ability to travel... Sponsors and their advisors/consultants FINRA Requirements FINRA licenses are required and will be supported for this role...
that all aspects of the business are implemented, and operated in strict accordance with FINRA, SEC, and industry best practices... activities align with FINRA, SEC, and other applicable regulatory frameworks. Develop and maintain policies, procedures...
in either Illinois or California Bachelor's degree required FINRA 7, 63 required. Willingness to travel within defined geographic...
retention (e.g., FINRA, GDPR, SOX). Scripting and automation skills (e.g., Python, PowerShell) to enhance operational...
's degree in marketing or finance or an equivalent combination of education and experience FINRA Series 6, 63 and applicable...