;ability to simplify complex investment concepts. FINRA licenses (Series 7, 63, 24, or 66) preferred. Bachelor's degree...
other teams to obtain key licenses Prepare responses to regulatory inquiries from FINRA, NFA, and state securities regulators...
, or arbitration experience (FINRA, AAA, JAMS) Bonus: Background in Big Law, government, or clerkships If you're looking for high...
’s degree FINRA licenses Compensation: The Base Salary range for this position...
and incident response. Manage regulatory compliance programs for SEC, FINRA, and other applicable frameworks, partnering... projects and strong knowledge of financial services regulatory requirements (SEC, FINRA, NYDFS). Possesses deep technical...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
within the financial services or fintech industry, especially within a FINRA and/or SEC regulated business. Experience...
+ Japanese language fluency FINRA S63, 79 certifications held or to be obtained within 3 months of joining. About Standard...
. Licenses: FINRA Series 7 and 63. Hiring Salary Range $160,000 - $200,000 (Salary to be determined by the education...
. Licenses: FINRA Series 7 and 63. Hiring Salary Range $160,000 - $200,000 (Salary to be determined by the education...