Are you a business? Hire finra candidates in Englewood, NJ
FINRA Series 7, 63, and 24 (optional) * Candidates holding a J.D. are welcome * Working knowledge of the following: Private Credit, 40 Act Funds, Collateralized Loan Obligations (CLOs), and/or legal ...
... FINRA/SEC). Additional duties will include managing/driving Compliance projects, providing stakeholder advice on strategic/new business initiatives, and training staff. Key Stakeholders Business ...
Liaise with regulators such as FINRA, the SEC, and others on regulatory matters. * Manage employment-related matters, including policy updates and procedures. * Research legal and regulatory changes ...
Due to the technical nature of this role, all full-time members of Strategic Accounts must pass FINRA series exams. In addition, some members have furthered their credentials through an MBA and/or ...
... FINRA SIE, Series 63 & 79 preferred Compensation: We are offering above industry standard commission payouts (ranging from 50% to 92.5% depending on the business line and production levels) for this ...
The path to becoming a Financial Professional begins with the Pre-Contract CDP Affiliate phase, during which you will study towards obtaining the required FINRA and resident state licenses, with the ...
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