Overview An Invigorating New Career Opportunity with SecTek! SecTek, Inc. protects our nation's most prestigious and high-visibility government and commercial facilities. We are trusted for our commitment and chosen for our accountabili...
requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
analysts on referrals of trading activity that may signal misconduct, and work with other regulators, such as exchanges, FINRA...
your expertise • Be there in times of need when clients need us most Qualifications: • FINRA Series 7/6, SIE, and 63/66 are preferred...
understanding of concepts and practices that lead to new FP success. Licensing: FINRA Series 7, 63/65 or 66...
Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
, FINRA, investment advisors, or fund formation is a plus Qualifications 6+ years of experience in securities law...
enforcement matters (e.g., SEC, CFTC, FINRA) a plus, but not required. Please note we will not be accepting any recruiter...
, 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...
, etc.) - Broker-dealer, FINRA, investment adviser, or fund formation experience is a plus This position is open to our offices in...
surveillance teams, with self-regulatory organizations such as FINRA, and with the SEC. Other tasks that may arise from time...