and timely manner 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...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Adhere to the operational risk framework...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Commodities Futures Examination administered by FINRA) Fluency in futures, options, hedging, and risk management concepts...
of FINRA and SEC rules At RSM, we offer a competitive benefits and compensation package for all our people...
Commodities Futures Examination administered by FINRA) Fluency in futures, options, hedging, and risk management concepts...
is offered through their FINRA-registered broker-dealer, which caters to a select group of institutional clients, including hedge...
preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. Additional Information Salary based...
in insurance and financial services. Strong communication and interpersonal skills. Licenses in insurance and FINRA Series 7...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
investment banking team. Aon Securities LLC has global operations and is a FINRA US registered broker dealer, and SEC Registered... of their securities related activities. Provide support to the Super Account Administrator and related processing of FINRA registrations...
with business leaders within the investment banking team. Aon Securities LLC has global operations and is a FINRA US registered... and related processing of FINRA registrations, disclosures, and terminations, as well as management of the BD, Form ADV...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
and review various legal agreements and regulatory documents. Ensure compliance with evolving SEC, FINRA, CFTC and state... and FINRA regulations, and industry best practices. Experience advising on alternative investment regulatory issues, including...