(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Preferred FINRA Registrations SRC Indicator: Series 7;Series 63;Series 65;Series 66 Physical Requirements Physical...
in building and maintaining relationships with institutional clients Ability to lead projects and mentor junior analysts FINRA... as job-specific technical skills. This role is located in New York, NY. This role is regulated by FINRA. Minimum Salary...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Capital Markets. Licenses: FINRA Series 63 and either Series 7 or 79 license is advantageous. If not already obtained...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...