disclosures, and review of trade activity Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal... Advisers Act, Investment Company Act, Exchange Act, and FINRA rules Strong background managing personal trading and Code...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
management experience preferred. Progress toward or active pursuit of CFA or CFP designation required. FINRA series 7 and the...
financial services). CFA charterholder or active candidate. FINRA Requirements FINRA licenses...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
, Analysis and Business Financial licenses/state registration as required (L&H, FINRA Series 7 and 66) Financial Software...
should have. Bachelor’s degree or equivalent or equivalent work related experience Active and valid FINRA Series 7 license... is required Active and valid FINRA Series 9/10 license is required (may be obtained within a 120 day condition of employment) Active...