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. The PWM Wealth Strategist is responsible for working with Private Wealth Advisors to develop and bring new client relationships generally above $10MM net worth into Private Wealth Management.