3+ years of experience at a brokerage or within a licensed financial services environment. FINRA Series 7 and 63... required. FINRA Series 3 and Series 66 licenses are preferred and must be obtained within a certain amount of days of employment...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed...
and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
and audits Ensure compliance with SEC, FINRA, and MSRB regulations, collaborate with Sales, Client Onboarding, Compliance..., corporates, municipals, agencies, MBS, and ABS FINRA Series 7 and 63 licenses required;Series 52 preferred Experience...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...