). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66... Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66... Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
requirements (FINRA, SEC, SROs) and internal Written Supervisory Procedures (WSPs). Supervise daily reconciliation, accounting... review for trade activity and report results to leadership Qualifications: FINRA Series 7, series 24, and Series 66...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66... Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
, SIE, and the ability to obtain additional FINRA licenses within 12 months). Proven experience as an Insurance Agent or Agency...
be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66... Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...