Authority (FINRA), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements listed... industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance licenses, jurisdictional registrations...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 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...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Series 62 & 65...
Qualifications: 1. FINRA SIE, 7, 66 examinations recommended 2. Advanced degree (or some schooling) in business, law or accounting...
(AWS, Azure, Google, Oracle) 6. Experience supporting Capital Markets Regulatory Environment – (SEC, FINRA, CFTC, NFA, FED...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates...
for those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed...
we also know well. Investment banking and securities underwriting activities are offered through Zions Direct, Inc., member FINRA...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses (or 63 & 65 in lieu... for this position is $50,000.00 - $60,000.00. The annual base salary will be higher if candidates have all of the FINRA registrations...
activities are offered through Zions Direct, Inc., member FINRA / SIPC. For more information, please see our website at . Full...