with Compliance and Legal teams in order to help ensure adherence to SEC, FINRA and firm regulations and guidelines Attend..., supervision, controls, risk or audit experience Minimum licensing requirement: FINRA Series 7 and Series 24 Strong attention...
protocols, and regulatory considerations (MiFID II, FINRA, etc.) Who you are 4+ years of backend software engineering...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Requirement: This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements...
Requirement: This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides...
capital (15c3-1) computations and supplemental FINRA reporting for the Broker Dealer Monitor regulatory changes and implement...
investment and advisory offerings are designed, launched, and maintained in alignment with SEC, FINRA, and DOL regulations... and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules Collaborate...