the Primary Responsibilities of this Position: Appropriate FINRA Licenses Physical Requirements or Work Conditions...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
to a rapidly changing business and technology environment Nice-to-have Current FINRA registrations Financial services...
positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank...
mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME, maintaining accuracy and timeliness. In this role... reporting framework. To be successful as a Broker Dealer Regulatory Reporting Analyst, you should have: SEC/FINRA Broker...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
, sales and servicing skills and abilities. Maintain all appropriate FINRA/other licenses and requirements up... to date. Required Qualifications High school or GED. 1+years of relevant experience. Current FINRA Series 7 State securities (S63 or S66), state...