). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
is located in our New York, NY office. This role is regulated by FINRA. Minimum Salary: $150,000 Maximum Salary...
will lead and oversee the firm's compliance programs for its FINRA-registered broker-dealer, bank broker dealer, and capital.... Maintain and update Written Supervisory Procedures (WSPs) in alignment with FINRA, SEC, and other applicable regulations...
laws and regulations. Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA... - Bachelor's degree, or equivalent work experience - Five or more years of experience in the broker/dealer industry - FINRA...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance...
Time, Holidays, Volunteer Time Off Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc. FINRA... Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55....
or more years Banking and/or Financial Services Sales. (Required) Certifications FINRA certification (must obtain within 2 years...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...