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...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
and proactively about how to best convey information. Exceptional client service skills Exceptional consultative skills FINRA... Requirements FINRA licenses are required and will be supported for this role. Work Flexibility This role is eligible for full...
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...
experience (required) or Bachelor's Degree (preferred) Licenses and Certifications FINRA Security Industry Essentials... (SIE) Upon Hire (required) FINRA License S7 Upon Hire (required) FINRA License S66 or S63 and 65 Upon Hire...
). 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...
within 150 days of hire: - FINRA Series 7 - Active State Securities Agent Registration (S63 or S66) - Active IAR...
in BD regulatory compliance, preferably in a supporting or managerial capacity. Detailed knowledge of FINRA and SEC rules...