Lead Client Executive
field or equivalent education/experience. Seven years of retirement industry or similar experience. FINRA Series 6...
field or equivalent education/experience. Seven years of retirement industry or similar experience. FINRA Series 6...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
and experience. Active FINRA Series 7. Active FINRA Series 24, or S9/10. Active State Securities Agent Registration (S63 or S66...
, Series 7, or other FINRA certifications Advanced degree in finance, law, or criminal justice Experience conducting EDD...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation... regulatory reporting functions. Lead operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley...