and regulatory knowledge across SEC, FINRA, and exchange rules Strong understanding of options trading and market structure...
and regulatory knowledge across SEC, FINRA, and exchange rules Strong understanding of options trading and market structure...
, or arbitration experience (FINRA, AAA, JAMS) Bonus: Background in Big Law, government, or clerkships If you're looking for high...
compliance with SEC, FINRA, and applicable state regulatory requirements Lead regulatory examinations, inquiries, and requests... (or ability to obtain promptly);JD a plus Deep working knowledge of SEC and FINRA regulatory expectations Proven ability...
. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
in the regulatory oversight by the CFTC, FINRA, NFA, SEC, and other U.S. regulatory bodies. Experience in review...
, FINRA, NFA, SEC, and other U.S. regulators. Established track record of developing and maintaining relationships...
FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides reasonable...
: FINRA licenses Series 86 and Series 87 Two to three years of experience in equity research and/or investment banking...
and Skills: FINRA licenses Series 86 and Series 87 Two to three years of experience in equity research and/or investment...