Rule 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE...
function with experience in Fixed Income Operations and/ or Middle Office; Undergraduate Degree in related fields; FINRA...
and/or Regulatory inquiries. Bachelor's degree or equivalent work experience. FINRA Series 7 and 99, and/or FINRA Series 27...
understanding of US regulatory requirements specific to Broker Dealer Operations. FINRA Series 99 and/or 7 10+ years...
, CCSA, CRMA or CPA) Knowledge of FINRA, SEC and compliance rules and regulations 2+ years previous financial services...
. Responsibilities: Design, configure, and build relatively complex FINRA Financial Allocations. Develop Workday reports depicting pre... FINRA team members with learning how to maintain/run allocations in the new Workday environment. Collaborate with Product...
.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally. Moomoo Financial... Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets...
Corp. (FASC), which provides investment banking and related services. FASC is a FINRA-registered broker-dealer and member...
products Intermediate Microsoft Office skills (Macros, V-Lookups, etc) NICE TO HAVE FINRA Series 7 license - DOES...