• Senior Manager, Compliance

    Charles Schwab (Southlake, TX)
    …deep expertise in registration and licensing requirements, including FINRA, SRO, States, Banking ( MLO /NMLS) NFA, and Investment Advisor requirements. The ... the financial services industry, including direct experience in Securities, Futures, and MLO Registration (FINRA, NFA, NMLS). + Ability to distinguish the difference… more
    Charles Schwab (01/02/26)
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