of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
building long-lasting relationships with affluent clients or equivalent experience; Required FINRA Registrations SRC...
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...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
expenses. Passed the FINRA SIE and Series 99 exams or willingness to pass both within 3 to 6 months of hire (company-sponsored...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
’s, and/or Master’s) required Extensive knowledge of SEC laws and regulations and FINRA rules and guidance FINRA Series 14... - Compliance Officer required FINRA Series 24 - General Securities Principal required FINRA Series 7 - General Securities...
, and FINRA). Complete compliance training; follow internal processes and controls as required. Ensure initial and periodic...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
regulations (e.g., FINRA rules, SEC rules, CFTC, NFA etc.) · Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing...