. FINRA Requirements FINRA licenses are not required and will not be supported for this role. Work Flexibility This role...
. Ensure compliance with regulatory requirements, including industry licensing (e.g., FINRA SIE, S7, S63 in North America...
and investment processes of our products. Knowledge of GIPS regulations, Composite requirements, and FINRA and other Fund marketing...
with strong verbal and written communication skills. Additional languages required: Mandarin. Additional languages are a plus. FINRA...
and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC...
Architecture Practitioner certification. Cloud Certifications highly preferred. FINRA Requirements FINRA licenses...
. Additional languages required: German or Italian. Other languages are a plus. FINRA SIE and Series 7 or interest in obtaining...
SEC, FINRA, FCA (UK), GDPR (EU), SFC (Hong Kong) and IIROC (Canada) Advise internal teams on a broad spectrum of legal...
and expected future exposure) FINRA Requirements FINRA licenses are not required and will not be supported for this role...
recruiting financial professionals to join a broker dealer/RIA. Financial Industry Regulatory Authority (FINRA) Series 7...