Active and valid FINRA Series 24 license CFP, CFA, CIMA, and/or AAMS Strong leadership, management, and motivational skills...
, FINRA, CFTC, Dodd-Frank, Volcker BASEL; and managing effectiveness of existing trading Controls and implementing enhanced...
preparation of all presentation and review materials. For those colleagues with FINRA Licenses, review asset management and CNS... working with high net worth clients FINRA Series 7 and 63 and 65 or 66 Skills and Knowledge 10 years of experience in...
structures, real estate (debt and equity), high yield debt, and/or alternative lending. FINRA licensing is required including... of financial service products and markets, securities laws and regulations (SEC/FINRA/state/federal), and back office preferred...
® designation Bachelor’s degree Active and valid FINRA Series 7 license (may be obtained with a 120-day condition of employment...) Active and valid FINRA Series 66 license required (may be obtained with a 120-day condition of employment) Five...
® designation or CFA® designation required Bachelor’s degree required Active and valid FINRA Series 7 license required (may...
Bachelor’s degree A valid and active FINRA Series 7 and 63 licenses required Must have a minimum of 5 years of proactive...
, including manipulating and analyzing large datasets via Excel and/or Power Bi. FINRA Series 79 and 63 licenses...
as well as fairness opinion assignments. Certification: Must have FINRA Series 63 and Series 79 licenses. Employer will accept any...
Regulatory Authority (FINRA). SWS is majority minority- and women-owned and our 140+ professionals are not only committed...