Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
- for any FINRA Inquiries or Arbitration Dotted line to Branch EVP to ensure FP adherence to all firm compliance policies... Qualifications Required Qualifications 3+ years of work experience in the financial services industry FINRA Series 7 FINRA...
of Capital Markets experience. This individual must have experience facing off with FINRA regulators. Experienced senior... Operation Control professional (FINRA 27 Financial and Operations Principal): Proficient in the following: Cash...
facing off with FINRA regulators. Experienced senior Operation Control professional (FINRA 27 Financial and Operations... on “operational” data impacting Federal Reserve and FINRA reporting. Familiarity with the following: Reserve formula calculation...
of Capital Markets experience. This individual must have experience facing off with FINRA regulators. Experienced senior... Operation Control professional (FINRA 27 Financial and Operations Principal): Proficient in the following: Cash...