(e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M Work effectively in a team environment... to work positively and make decisions under time pressure Be able to interpret and apply SEC, FINRA and other regulatory...
process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of 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...
). 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...
done FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire Preferred...
that all complaints and corrections have been properly documented for FINRA review. Generates error reports to track the source of the... Required;5 Years Preferred FINRA Registrations SRC Indicator: Series 6 or 7;Series 63 Physical Requirements Physical...
or CFA® designation Bachelor’s degree Active and valid FINRA Series 7 license May be obtained with a 120-day condition... of employment Active and valid FINRA Series 66 license required May be obtained with a 120-day condition of employment Five...