consider 24 month condition of employment) Bachelor’s Degree required Active and valid FINRA Series 7 license... required Active and valid FINRA 66 license required (may consider a 120-day COE) Active and valid FINRA 9/10 required (may consider...
that regular, tailored investment and relationships reviews occur between client team and client. For those colleagues with FINRA... and relationship management experience in financial services preferably with high net worth clients. FINRA Series 7 and 63 and 65...
that regular, tailored investment and relationships reviews occur between client team and client. For those colleagues with FINRA... management experience in financial services preferably with high net worth clients. FINRA Series 7 and 63 and 65 or 66...
transactions with increasing levels of leadership roles Must have or be able to obtain FINRA Series 63 and 79 licenses. Up...
Active and valid FINRA Series 7 license Active and valid FINRA Series 66 license required (may be obtained with a 120-day...
remediation activities. Ensure compliance with all relevant regulatory requirements and standards (e.g., FINRA, SEC, OCC, NYDFS...
remediation activities. Ensure compliance with all relevant regulatory requirements and standards (e.g., FINRA, SEC, OCC, NYDFS...
should have. Bachelor’s degree or equivalent or equivalent work related experience Active and valid FINRA Series 7 license... is required Active and valid FINRA Series 9/10 license is required Active and valid FINRA Series 66 (63/65) license is required Active...
consider 24 month condition of employment) Bachelor’s Degree required Active and valid FINRA Series 7 license... required Active and valid FINRA 66 license required (may consider a 120-day COE) Active and valid FINRA 9/10 required (may consider...
or corporate banking training program preferred, but not required FINRA Series 79 (or 7) and Series 63 and /or willingness...