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...
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...
;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...
to Liquidity Risk Management issued by FRB, OCC, FDIC, SEC, FINRA, Basel Committee on Banking Supervision For this role, HSBC...
’s degree;FINRA Series 7 and 66 (or equivalent 65/63) licenses required. 3-5+ years of experience in an intermediary sales...
, Computer Science). Preferred Qualifications, Capabilities, and Skills: FINRA 7 and 63 securities licenses...