of private funds, hedge funds, private equity, or related domains. FINRA Licensing – Such as SIE, Series 99, Series 7...
in any of the FINRA offices in Washington DC, Boca Raton, New York, Chicago or Los Angeles) - 4 month Contract (Maternity Leave...
Functional Skills and Training Major in economics, finance and/or STEM field To be FINRA registered (Series 7, 63, SIE) after...
, SEC, CFTC, FINRA, NFA, MSRB, NYSE, CME etc.,) to determine applicability. Timely communication of regulatory updates... in the US, self-regulatory organizations and exchanges (NYFRB, FRB, SEC, CFTC, FINRA, NFA, MSRB NYSE, CME...
current on SEC/FINRA, Compliance and Firm guidelines and apply to processing and all interactions to ensure risk mitigation...
Previous banking or financial services experience is a plus including FINRA registrations past or present The pay range...
activity Keep current on SEC/FINRA, Compliance and Firm guidelines and apply to processing and all interactions to ensure risk...
- Managing and administering Atlassian Cloud tools and middleware applications between SaaS and FINRA environments. Integrating...
Securities Corp. (FASC), a FINRA-registered broker-dealer and member SIPC, and invest directly in companies through First...
framework. Responsibilities: Own the broker-dealer’s regulatory governance program and calendar, tracking FINRA/SEC/DEA...-dealer compliance or assurance experience, with SEC/FINRA exposure;FINRA Series 7, 14, 27, or 99 preferred. Hands...