to comply with the requirements of all Financial Industry Regulatory Authority (FINRA), Office of Supervisory Jurisdiction (OSJ...
) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
to new technology or applications. Desired Qualifications Currently holds FINRA Securities Industry Essentials...
on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements. You will engage..., audits, examinations and investigations. Your expertise in SEC and FINRA regulatory requirements will be essential...
, exercising influence at the most senior level of the organization, both internally and externally FINRA Series 7, 63 and 79...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...