enforcement matters (e.g., SEC, CFTC, FINRA) a plus, but not required. Please note we will not be accepting any recruiter...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) license...
with disabilities to perform the essential functions. FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53... of banking or relevant experience. Audit experience. Strong knowledge in field of assigned business unit(s). FINRA Series 4...
, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...