during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state...
-to-date FINRA Series 7 & 63/66 documents are a bonus Stellar communication and math skills complemented by a proven track record...
, exercising influence at the most senior level of the organization, both internally and externally FINRA Series 7, 63 and 79...
performance indicators. This role requires you to submit a U4 to FINRA during training. FINRA will do additional background... Customer service, handling customer accounts, inquires and escalations. Must obtain FINRA Series 6 license withing 90 days...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
: Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting to FINRA Short Interest and Electronic... Blue Sheets (EBS) filings to FINRA Monitoring Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF...
) and FINRA Series 7 and 66, is required Computer proficiency including MS Office, Google Suite, CRM systems, and financial...
but not limited to: FFIEC, OCC, FINRA, Federal Reserve Provides backup for Crisis Management Supervisor as necessary...
, JD, CFA, or CFP preferred FINRA Series 7, 66, 9, 10 and Insurance licenses required for position;however, unlicensed...