- US Bank (Hopkins, MN)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- Wells Fargo (Nampa, ID)
- …employment start date. The Nationwide Mortgage Licensing System ( NMLS ) website (http://fedregistry.nationwidelicensingsystem.org) provides the MU4R questions and ... registration required for employment in this position. Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements… more
- US Bank (Las Vegas, NV)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- US Bank (San Francisco, CA)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- US Bank (Tempe, AZ)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- Wells Fargo (New York, NY)
- …employment start date. The Nationwide Mortgage Licensing System ( NMLS ) website (http://fedregistry.nationwidelicensingsystem.org) provides the MU4R questions and ... registration required for employment in this position. Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements… more
- US Bank (Palm Beach, FL)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- Idaho Division of Human Resources (Boise, ID)
- …+ Coordinate the download of data from national systems and input data (ie, NMLS , EFD system, Blue Express) into the Bureau's databases; + Process applications and ... renewals pertaining to investment professionals, such as investment advisor representatives and broker/dealer agents, securities issuers, escrow companies, money transmitter businesses, and endowment care cemeteries; + Review initial filings for accuracy and… more
- US Bank (Owensboro, KY)
- …(FDIA). In addition, certain positions may 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 Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business… more
- Charles Schwab (Southlake, TX)
- …industry, including direct experience in Securities, Futures, MLO Registration (FINRA, NFA, NMLS ). + A deep understanding of the regulatory environment, knowledge of ... securities industry rules and regulations, and comprehensive knowledge of qualification requirements. + Ability to perform daily supervisory reviews of Employee Compliance processes and activities. + Ability to identify and track deficiencies. + Ability to… more
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