's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
. What you have Required Qualifications Bachelor's degree Active and valid FINRA Series 7 & 66 licenses 10 years of experience in business development...
’ higher education and/or work experience, including a minimum of 9 years’ experience in a sales environment FINRA Series 7...
Self-directed, proactive, and creative;uses sound judgment and navigates ambiguity to get things done FINRA Series 79, 63...
® designation required (may consider 24 month condition of employment) Bachelor’s Degree required Active and valid FINRA Series 7... license required Active and valid FINRA 66 license required (may consider a 120-day COE) Active and valid FINRA 9/10...
that regular, tailored investment and relationships reviews occur between client team and client. For those colleagues with FINRA... worth clients. FINRA Series 7 and 63 and 65 or 66 Additional Qualifications Strong understanding of all products...
that regular, tailored investment and relationships reviews occur between client team and client. For those colleagues with FINRA... in financial services preferably with high net worth clients. FINRA Series 7 and 63 and 65 or 66 California Insurance License...
that regular, tailored investment and relationships reviews occur between client team and client. For those colleagues with FINRA... to be registered under the Safe Act FINRA Series 7 and 63 and 65 or 66 California Insurance License Additional Qualifications...
Deep local connections and market knowledge Corporate finance expertise and strong transaction execution skills FINRA...