of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
and FINRA certifications (or willingness to obtain). Our Unique Angle: Meticulous Training and Support We distinguish...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
offer securities through Mutual of Omaha Investor Services, Inc., Member FINRA/SIPC. Investment Advisor Representatives offer advisory...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
or CFA® designation Bachelor’s degree Active and valid FINRA Series 7 license May be obtained with a 120-day condition... of employment Active and valid FINRA Series 66 license required May be obtained with a 120-day condition of employment Five...
and technology platforms Desired Qualifications: Currently holds or is pursuing FINRA Securities Industry Essentials...
knowledge of federal, state and FINRA regulatory laws pertaining to wealth management, excellent managerial skills, ability...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...