: Ensure that all technology solutions comply with industry regulations, such as GDPR, SEC, and FINRA guidelines. Collaborate...
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...
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...
skills will help you succeed in this role FINRA Series 7 and 63 Required, MBA or CFA Preferred 5+ years of industry...
in accordance with all relevant laws, and regulations, including those enforced by FINRA, the SEC, DOL and NYSDFS and other state...
, proactive, and creative;uses sound judgment and navigates ambiguity to get things done FINRA Series 79, 63 and Securities...
done FINRA licenses required: SIE, Series 79, Series 63 Preferred Qualifications, Capabilities and Skills Bachelor's degree...
done Willing to obtain required FINRA licenses: SIE, Series 79, Series 63 Preferred Qualifications, Capabilities and Skills...