Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. Analytical, technical, and technology skills...
preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. Analytical, technical, and technology skills...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
, with a keen eye for detail. Familiarity with the U.S. regulatory environment (e.g., FINRA, SEC) is a strong plus. A mindset...
visibility and attract new clients. Maintain all required industry licensing, including FINRA Series 65 licensing, and adhere... to all applicable fiduciary and compliance responsibilities. Preferred Qualifications: FINRA Series 65 license required (or the...
Written Communications Required Qualifications: FINRA Securities Industry Essentials (SIE), Series 7, 63/65 or 66...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
, and institute updates where needed. Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
’s degree in a business or finance field 2+ years of experience in the financial services industry Active FINRA licenses...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
2+ years of experience in the financial services industry Active FINRA licenses: Series 6, 63, and 65 and/or 7 and 66...
, and institute updates where needed. Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC... trade settlement breaks. Collaborate to meet regulatory guidelines & recordkeeping (FINRA, OCC, SEC, etc.). Assist...