. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state...
-to-date FINRA Series 7 & 63/66 documents are a bonus Stellar communication and math skills complemented by a proven track record...
, exercising influence at the most senior level of the organization, both internally and externally FINRA Series 7, 63 and 79...
performance indicators. This role requires you to submit a U4 to FINRA during training. FINRA will do additional background... Customer service, handling customer accounts, inquires and escalations. Must obtain FINRA Series 6 license withing 90 days...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
: Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting to FINRA Short Interest and Electronic... Blue Sheets (EBS) filings to FINRA Monitoring Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF...
) and FINRA Series 7 and 66, is required Computer proficiency including MS Office, Google Suite, CRM systems, and financial...
but not limited to: FFIEC, OCC, FINRA, Federal Reserve Provides backup for Crisis Management Supervisor as necessary...
, JD, CFA, or CFP preferred FINRA Series 7, 66, 9, 10 and Insurance licenses required for position;however, unlicensed...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...