of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
preferred. License/Certification/Designation: FINRA Series 6/7, Series 63/66, life and health insurance required. Advanced...
requires a deep understanding of U.S. wealth management regulations, including FINRA/SEC rules, Reg BI, AML/KYC, suitability... all sales activity complies with FINRA, SEC, OFAC, KYC/AML, FATCA, CRS, Reg BI, and firm supervisory requirements. Oversee...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
instincts. Education & Experience Minimum Required: B.S. or B.A. Licenses & Credentials Minimum Required: FINRA...
and FINRA regulatory requirements. Understanding and knowledge of the financial industry. Knowledge of Stifel policies...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...