and continuous improvement. Requirements: 3 + years of financial services experience Series 99 (https://www.finra.org/industry...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory...
The Business Risk Officer role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role... business applications preferred US Registered FINRA Series 7, 9 & 10 (or Series 4, 24, 53) and 66 (or Series 63 and 65...
) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National...
also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...
, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...