). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
that all aspects of the business are implemented, and operated in strict accordance with FINRA, SEC, and industry best practices... activities align with FINRA, SEC, and other applicable regulatory frameworks. Develop and maintain policies, procedures...
should have. Required Qualifications: Must be able to read, write, and speak in Spanish or Chinese/Mandarin (or Cantonese). FINRA Series 7 and 63... in trading, engaging with clients in a proactive and consultative manner. Preferred Qualifications: FINRA Series 9-10...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...