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...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66... Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
FINRA Series 7 and 66 (or 63 & 65);state Life & Health Insurance License. Responsibilities Responsible for growing new... and Certifications FINRA Security Industry Essentials (SIE) within 120 Days (required) FINRA License S7 within 120 Days...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
, FINRA regulations require fingerprinting for this position;if we are holding securities licenses, a credit check...
standards and FINRA requirements for financial marketing. - Preferred Experience using Salesforce Marketing Cloud...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
for their contributions. We work hard, support one another, and enjoy being together every day. Your expertise Active FINRA Series 7...