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...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
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...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
· Knowledge of compliance rules and regulations (such as FED, NYDFS, SEC, CFTC, FINRA) · Understanding of regulatory..., CFTC, NYDFS, SEC, FINRA,);· Prior experience with BHCA, Reg Y, Reg K, and other banking regulations Technical skills...
on Regulatory Change Management · Knowledge of compliance rules and regulations (such as FED, NYDFS, SEC, CFTC, FINRA..., CFTC, NYDFS, SEC, FINRA,);· Prior experience with BHCA, Reg Y, Reg K, and other banking regulations Technical skills...
experience AND 8+ years of total relevant work experience This role requires FINRA Series 7 & 66 licenses Willingness...-directed team player with the ability to work independently FINRA Requirements FINRA licenses...