Management, Computer Science, etc.). Preferred qualifications, capabilities and skills: FINRA Series 7 and 63 securities...
work experience. -Preferred Life, Accident, Health & FINRA Series 6 or 7 license required (within 6 months of hire...) Knowledge of life insurance and investment products, SEC, FINRA, IRS and state insurance regulations Strong technical...
Company Act of 1940, ERISA, FINRA rules, and CFTC/NFA rules. Experience with working with ETF products...
or more serving as a securities compliance examiner with the SEC Compliance experience with AML, FINRA and/or NFA/CFTC...
, coach, and mentor Successful sales experience Additional Qualifications Bachelor’s Degree FINRA licenses: 6, 7, 63/65...
different insurance carriers for all your solution needs. Additional Qualifications Bachelor’s Degree FINRA licenses: 6, 7...
and valid FINRA Series 7 license (may consider a 90-day COE) Active and valid FINRA Series 66 license required (may be obtained...
to industry standards and regulatory requirements, including any required certifications (e.g., FINRA SIE, S7, S63 in North...
and valid FINRA Series 7 license (may consider a 90-day COE) Active and valid FINRA Series 66 license required (may be obtained...
of 1940, and FINRA rules A solid background in various investment strategies, including fixed income, alternatives...