. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually... — Background in financial compliance, wealth management, or RegTech (SEC/FINRA familiarity strongly preferred). What You Can...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Management, or Advice Familiarity with Agile frameworks FINRA Requirements FINRA licenses...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting. Company Overview At New York Life, our 180...
are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC...