registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM...
, or financial advisors CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus Capital Markets Advanced degree...
reports and other FINRA/SEC regulatory filings Maintain net capital calculations and ensure compliance with applicable rules...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
) Other licenses as required for role or by management Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
services. Strong communication and interpersonal skills. Licenses in insurance and FINRA Series 7 and 63 preferred....
-task with minimal supervision ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
of relevant securities experience, preferably in operations or being a Sales Assistant for a Registered Rep FINRA Series 7/63...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
of experience in insurance and financial services. Communication and interpersonal skills. Licenses in insurance and FINRA Series...
requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
Active FINRA licenses: Series 6, 63, and 65 and/or Series 7 and 66 required Candidates must be legally authorized to work...
filings (B, S, D, SLT, SH-C/A/LA), 13 G & F, 13h-1 (Large Trader), Forms U4/U5, FINRA Contacts, etc. Marketing Compliance..., mutual funds, broker-dealer). Deep expertise of SEC and FINRA laws, regulations, and guidance, particularly as it relates...
's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
multiple tasks with a high degree of accuracy ACAMS, CFE, CFCS, Series 7, or other relevant certifications or FINRA licenses...