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...
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...
to new changes and new challenges Preferred work with Regulators SEC, NYSE, FINRA for example and on CAT, TRACE, MSRB...
. 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...
, and service agents. Security & Compliance Ensure data security and compliance with industry regulations such as FINRA, SEC...
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...
. 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...
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 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...
. 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...