during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
to a wide variety of asset management firms in managing their SEC and FINRA compliance programs. You will work alongside... individual with a strong understanding of the Investment Advisers Act and FINRA rules and regulations. The ideal candidate...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
. Communication and interpersonal skills. Licenses in insurance and FINRA Series 65 and 63 preferred....
a fingerprint background check to qualify as a fingerprinted person under FINRA. For roles requiring registration, additional...
collaborative solutions Ability to effectively prioritize competing demands in a fast-paced changing environment FINRA 6 and 26...
interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act...-dealer and investment advisory environments FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides...