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...
guidance and oversight to ensure all activities align with FINRA, SEC, NFA, and CFTC regulations and firm policies. Your deep... awareness across the business. Qualifications: 5-10 years of relevant compliance or supervisory experience in a FINRA...
required. Proficient in Microsoft programs. FINRA license is not required but welcome Reporting Relationships Vice President...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
is preferred FINRA Series 7, 66 (or equivalent), 9/10 (or equivalent), in addition to meeting FINRA continuing education...
required Licensing Requirements: FINRA Series 7, 63 and 66 or 65, State Insurance License Ability to meet/exceed client experience needs...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
specified criminal history for the position: FDIC;Safe Act;Loan Originators;FINRA. At Bank of America, we are guided...