Sales Associate – Immediate Opening

Position Summary We are hiring a Sales Associate to sell our software as a service (SaaS) solution to financial services institutions. Our ideal candidate will use their intellect, curiosity, and personal skills to prospect, qualify, and create sales opportunities. We...
FINRA’s Trusted Contact Rule

FINRA’s Trusted Contact Rule

BACKGROUND This last winter, FINRA introduced the trusted contact rule. It requires that broker-dealer firms make reasonable efforts to identify a “trusted contact,” a person to contact if the firm has a concern that the client is incapacitated or is the target of a...