ability to make decisions Obtain and maintain required FINRA registration and licensing appropriate to your functions...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. Additional Information Salary based...
FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal employment...
, capabilities, and skills: FINRA licenses Series 86 and Series 87 and/or CFA Some coding capabilities - e.g., VBA, Python...
to a rapidly changing business and technology environment Nice-to-have Current FINRA registrations Financial services...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
and investigations and Internal Audit Continually strengthen regulatory knowledge and experience with SEC, FINRA and MSRB regulatory...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal...
advisory engagements and transactions is essential Knowledge of FINRA, SEC, broker dealer regulations and other relevant bank...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
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...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal...
, capabilities, and skills: FINRA licenses Series 86 and Series 87 and/or CFA Some coding capabilities - e.g., VBA, Python...
Regulatory Authority (FINRA) Life/Health Insurance License Successful track record of meeting sales goals/quotas preferred...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency...
and NA regulations (e.g., Dodd Frank, FINRA, CFTC). Experience in operations, operational risk management, business controls, sales...