· Knowledge of compliance rules and regulations (such as FED, NYDFS, SEC, CFTC, FINRA) · Understanding of regulatory..., CFTC, NYDFS, SEC, FINRA,);· Prior experience with BHCA, Reg Y, Reg K, and other banking regulations Technical skills...
firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory... or managerial role required. FINRA Series 7, 66 and Series 24 registration required. FINRA Series 4 and 53 must be acquired...
in investment management and/or corporate retirement plan marketplace. FINRA SIE or equivalent, Series 6 and 63 (or 66) licenses...
plans, and UCITs Broad knowledge of business area practices, systems, and processes FINRA Series 6 or 7 licensing... required within 6 months of hire and FINRA Series 26 or 24 licensing required 6 months later Skills That Will Help You Stand Out...
a minimum of 7 years' relevant work experience Education and Experience Preferred: Investment bank risk experience, FINRA and SCC...
knowledge of state and federal security regulations Licensing / Certification requirements: Active FINRA Series 7 and 66... required FINRA Series 24 obtained within 12 months of start date. Certified Information Privacy Professional (CIPP/U or CIPM...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...