. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 24, Series 66 or 65/63 registrations and applicable... of job entry date. Active FINRA licenses must be transferred within 30 days of job entry date. 5. Minimum eight years' experience...
requirements to support this effort. Work with consultants to complete SEC and FINRA CMA filings. Prepare and provide the necessary... coordinator for regulatory requests and examinations (SEC/FINRA) · Assist Management with strategic projects and initiatives...
requirements to support this effort. Work with consultants to complete SEC and FINRA CMA filings. Prepare and provide the necessary... coordinator for regulatory requests and examinations (SEC/FINRA) · Assist Management with strategic projects and initiatives...
during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
services Ability to travel 50% - 70% as required FINRA Series 7 and Series 63 at time of application The Ideal...
, FINRA, and banking regulations Preferred licensing: Series 7, Series 24, or equivalent regulatory certifications...
of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook Other Required Qualifications: FINRA Series 99...
and analytical capabilities Strong knowledge of AI landscape FINRA Securities Industry Essentials (SIE) credentials...
to external auditors and US regulators (FRBNY, OCC, SEC, FINRA) and to meets the evolving demands of the US regulatory environment...
to external auditors and US regulators (FRBNY, OCC, SEC, FINRA) and to meets the evolving demands of the US regulatory environment...