, Investment Company Act and FINRA;European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory...
regulatory bodies Assist in conducting mock regulatory exams;as well as assist in providing SEC and FINRA exam support Train... as FINRA requirements is a plus Additional Information Salary based on experience and location...
regulatory bodies Assist in conducting mock regulatory exams;as well as assist in providing SEC and FINRA exam support Train... as FINRA requirements is a plus Additional Information Salary based on experience and location...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
and manage complex assignments Bachelor's degree required Preferred qualifications, capabilities, and skills FINRA series 7...
of demonstrated sales and business development experience with proven results (required) Licenses and Certifications FINRA Series...
and business development experience with proven results (required) Licenses and Certifications FINRA Series 7 and 66 (or 63...
. QUALIFICATIONS: 3+ years of experience in financial services. Analytical and communication skills. FINRA Series 6 and 63 licenses...
Regulatory Authority (FINRA) Life/Health Insurance License Successful track record of meeting sales goals/quotas preferred...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...