Advisor Specialist II-FINRA engages with the Investment Banking and Capital Markets Business Unit stakeholders to support The... Business Unit Risk Advisor Specialist II-FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
FINRA, SEC, ERISA, Sarbanes-0xley, and other applicable federal and state law. 6. Excellent communication, interpersonal...
by Financial Industry Regulatory Authority, Inc. (FINRA) 4. Strong writing and presentation skills 5. Significant experience... Preferred Qualifications: 1. FINRA Series 7, 66 (or 63/65) and Life & Health Insurance licenses 2. Sound working knowledge...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates...
interfacing with external parties including the FRB, FINRA, OCC, State Regulators and other third party auditors. 6...
industry environment. FINRA Series 7 and Series 63 required (if not already licensed, should be obtained within first 60 days...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance... date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage Licensing Act compliant...
on risk-related matters, including directly interfacing with external parties including the FRB, FINRA, OCC, State Regulators...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...