Education: Bachelor's degree or related field
Experience: 7+ years
- A minimum of 7 years' experience in supervision, compliance and/or regulatory matters.
- Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65)
- Undergraduate degree in Business, Accounting, Finance, or related discipline
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