guidance and oversight to ensure all activities align with FINRA, SEC, NFA, and CFTC regulations and firm policies. Your deep... awareness across the business. Qualifications: 5-10 years of relevant compliance or supervisory experience in a FINRA...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
skills (testing required) Must pass fingerprinting, criminal background check, and bankruptcy report per FINRA and Broker...
necessary FINRA Series licenses The typical base pay for this role is $225,000 depending on job-related knowledge, skills... Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
insurance license and FINRA certifications (or willingness to obtain). Position Perks: Significant bonus opportunity...
;Transaction Cost Analysis (TCA) Index Analysis;equity sales trading Requires FINRA Series SIE, Series 7TO, Series 57TO...