experience in the industry and holds a bachelor’s degree in Biomedical Chemistry from Oral Roberts University, along with FINRA...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
policies, and industry best practices, ensuring adherence to U.S. securities laws and FINRA/SEC regulations. This role... the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements...
. Goal-oriented with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain...
: Strong communication and interpersonal skills. Goal-oriented with a desire to succeed. Life insurance license and FINRA certifications...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...