Working for a Bank with criminal record.
First, I want to extend my thanks and appreciation to everyone for taking their time in this matter.
I am 25M with two M1 misdemeanor theft charges. I would one day like to work in the financial industry, most likely on the technical side (IT Dept) if at all possible. Is there any way I'd stand a shot with these on my records without expungement or utilizing connections? I'd like to do it on my own, but I know using connections will probably be the way most would advise me to go.
Thank you so much.
Charges? Or convictions?
Both are convictions.
Definitely possible. If they’re recent convictions (10yrs or less), it may interfere with FINRA/NASAA licensing, but it sounds like you’re pursuing a strictly clerical role so I doubt that’ll be an issue. I’d recommend leveraging your past jobs/bosses for positive references in addition to utilizing your connections. Best of luck bro.
Thank you. I know the answer is probably a straight up, "No", however I'll ask it anyway.
Would there ever (expungement or otherwise) be a chance of getting myself into a client-facing position (Client Banker or Corporate Banking)?
With those roles, you’ll need FINRA/NASAA licenses (Series 6/7 & Series 63/65/66) which you’re ineligible for with a misdemeanor conviction of 10yrs or less. However, after that period, I think you could swing it.
With an expungement, am I still ineligible as background check(s) wouldn't bring it up then? Apologies for a dumb question.
Are you sure this is correct? I know a kid who had a DUI and I am fairly certain he was convicted, and he started his career in IBD, passing all FINRA series exams. I actually know multiple folks with DUIs that started their careers in banking, and a DUI is a felony in the state I am referencing.
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