) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National...
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...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
skills (testing required) Must pass fingerprinting, criminal background check, and bankruptcy report per FINRA and Broker...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license... required Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure...
may meet the requirements. Required licensing, FINRA Series 7 & 66 (65/63), life and health insurance. A CFP...