of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
will result in removal from LBE program) FINRA Security Industry Essentials (SIE) (required within 90 days of passing the Life... and Health Insurance exam. Failure to pass exam/or no attempt to take exam will result in removal from LBE program) FINRA...
to economic environment;convey information in accordance with FINRA / SEC guidelines. Complexity and scope of questions based... service-related field FINRA Series 6 and Series 63 required FINRA fingerprinting required ***Applicants...
) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
(FINRA, Federal Reserve, DFS) requirements are met. Ensure compliance with IT Control plan Ensure the respect of policies... language skills is a plus Technical skills required Approved Person Registration Essential: FINRA Series 99 - Operations...
regulations, policies and FINRA regulations Perform other duties as required or assigned Salary Range: $150K-$165K #LI-DNI...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...