policies, and industry best practices, ensuring adherence to U.S. securities laws and FINRA/SEC regulations. This role... the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements...
team Ability to travel 50% of the time A valid and active FINRA Series 7, 66 (or equivalent) is required A valid... and active FINRA Series 9/10 (or equivalent) is required and must be obtained or retained within a 60 day condition of employment...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
of experience in insurance and financial services. Strong communication and interpersonal skills. Licenses in insurance and FINRA...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
that all aspects of the business are implemented, and operated in strict accordance with FINRA, SEC, and industry best practices... activities align with FINRA, SEC, and other applicable regulatory frameworks. Develop and maintain policies, procedures...