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. Working in a team-based environment, the advisor builds and maintains relationships, conducts ongoing reviews, and partners with internal stakeholders to identify opportunities and deliver a consistent client experience.