and regulations related to the U.S. Cash Equities markets, including FINRA, SEC, SRO rules and market access regulations...
for developing, implementing, and maintaining an effective compliance program to address all relevant SEC, FINRA, OCC, Federal... Investment Advisors Act of 1940, the Investment Company Act of 1940 and applicable FINRA Conduct Rules. A working knowledge...
's, facilitate RTTM trade matching, netting and reporting to FINRA Trace Assist the Fixed Income Middle Office team with trade input... FINRA NASD S99 License or ability to obtain Proficiency in MBSE (MBS Expert), Broadridge Impact Interested...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
dealers in satisfying regulatory requirements by the SEC, FINRA, CFTC as well as international regulators. Kroll professionals...
(FINRA)) a plus Skills That Will Help You Excel Ability to communicate issues and analysis results to Senior Management...
FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal employment...
, Updata, TradeStation, etc.). completed the required FINRA exams (SIE, Series 7, Series 66). cleared level 1 or higher...
, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
record of developing and coaching high performing Advisor team Ability to travel 50% of the time A valid and active FINRA... Series 7, 66 (or equivalent) is required A valid and active FINRA Series 9/10 (or equivalent...
in a marketing management role. Must have a FINRA Series 24 license and CIRO, CSC, CPH Incumbent must be considered an expert...
and reporting control issues with transparency. Qualifications: 10+ years of experience FINRA Licensed Series 7, 63/66 Prior...
to get things done FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days...
, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state...