, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
degree a plus. FINRA registration a plus SMBC's employees participate in a Hybrid workforce model that provides employees... during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
, violations of company policy, and FINRA and State Insurance Department laws and regulations. Investigations may include field... combination of education and experience in Business Administration, Finance, Marketing, or Pre-Law preferred. FINRA SIE, Series 7...
and technology platforms Desired Qualifications: Currently holds or is pursuing FINRA Securities Industry Essentials... and FINRA. Shift: 1st shift (United States of America) Hours Per Week: 37.5 Pay Transparency...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
required. FINRA Series 7 licenses required. FINRA Series 24 and 66 must be obtained within twelve (12) months of entering role.... Securities industry experience desired, including familiarity with investment products, FINRA, and SEC Rules. Financial analysis...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...