products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates...
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...
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...
interfacing with external parties including the FRB, FINRA, OCC, State Regulators and other third party auditors. 6...
. 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...
industry environment. FINRA Series 7 and Series 63 required (if not already licensed, should be obtained within first 60 days...
to new changes and new challenges Preferred work with Regulators SEC, NYSE, FINRA for example and on CAT, TRACE, MSRB...
, and service agents. Security & Compliance Ensure data security and compliance with industry regulations such as FINRA, SEC...
. 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...