any contracts necessary to bring the product to life. Brokerage: Public owns its own FINRA-registered broker-dealer. You'll work... with Compliance to ensure that we continue to meet our SEC and FINRA obligations. You'll help interpret relevant laws and regulations...
firm and/or in-house setting is required Experience working with a range of regulatory bodies (SEC, FINRA, CFTC, OCC...
requires a bachelor’s degree and a FINRA Series 7 license. Experience with financial services required;experience with 1031...
agencies such as the SEC, FINRA, and the PCAOB. Demonstrated expertise in trial/arbitration preparation and courtroom...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
with outside parties on contractual issues and legal disputes Defending industry professionals in FINRA, AAA, and JAMS... arbitrations Defending industry professionals and firms in FINRA, SEC, and state enforcement matters Analyzing compliance...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities... of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
for the markets, investing and technology Preferred qualifications, capabilities, and skills: FINRA licenses Series 86...
;and have a proven ability to exceed quarterly goals as set by the company Bachelor’s degree A valid and active FINRA Series 7 and 63...
's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...