Required Qualifications: FINRA licenses Series 86 and Series 87 Two to three years of experience in equity research and/or investment...
on derivatives, lending disclosure requirements, FINRA conduct standards, and federal/state guidance on digital asset lending...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
designation preferred FINRA licensing required. Series 7, 63, 86 & 87 5+ years of related investment research experience...
FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides reasonable...
, or in a relevant legal and compliance role required Experience responding to regulatory inquiries, including but not limited to FINRA...
and valid FINRA Series 7 license May be obtained with a 120-day condition of employment Active and valid FINRA Series 66...
or active candidate. FINRA Requirements FINRA licenses are not required and will not be supported for this role. Work...
timelines and objectives, and uphold high execution standards FINRA Series 79 and Series 63 licenses required Expected base...