communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects on time and within budget. more »
insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the more »
insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the more »
explain to project team that they would mean in terms of business and technology requirements: * FCA MAR, SYSC and COBS (Regulation), * CFR 1.31 (Regulation) * FINRA/SEC Rule 17a-4 and Rule 17a-3 (Regulation). Responsibilities: * Provide interpretations for the regulations where required and agree with key business stakeholders more »
