Relationship building skills and the ability to influence outcomes Preferred Qualifications Life license FINRA Series 7 & 63...
designations/certifications (e.g., CFP, CFA, MBA, CHFC, CPWA) preferred Active & valid FINRA Series 7 license required Active... & valid FINRA Series 66 (63/65) license required Active & valid Life & Health insurance (or may be obtained within 90 days...
should have. Bachelor’s degree or equivalent or equivalent work related experience Active and valid FINRA Series 7 license... is required Active and valid FINRA Series 9/10 license is required Active and valid FINRA Series 66 (63/65) license is required Active...
of contact with the SEC, FINRA and state regulatory bodies, managing regulatory audits, inquiries, investigations and exams Provide... support, advice and training to front-office and operational personnel with respect to FINRA and SEC rules and regulations...
compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere...
compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere...
Experience anticipating and proactively addressing senior management concerns FINRA Series 7, 66 (or equivalent...
A leader, coach, and mentor Successful sales experience Additional Qualifications Bachelor’s Degree FINRA licenses: 6...
. What you have Required Qualifications Active and valid FINRA Series 7 & 66 licenses 10 years of experience in business development and relationship...
Hold or are willing to attain US FINRA Series 3, 4, 7, 24, 53, 55, 63 and Canadian New Entrants licenses Bloomberg...