team work. Required Qualifications: Currently hold FINRA Securities Industry Essentials (SIE), Series 7 and Series 66... or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC;FINRA...
on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements. You will engage..., audits, examinations and investigations. Your expertise in SEC and FINRA regulatory requirements will be essential...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements General understanding of Senior...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...