- SMBC (Jersey City, NJ)
- …regulatory changes. + Engage with regulatory bodies such as the Federal Reserve, FINRA , NFA, and FDIC on technical reporting matters. + Participate in industry ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (Jersey City, NJ)
- …and supervisory reporting map. + Review workflow queues and reports, eg, FINRA Web CRD. + Process fingerprinting and background check procedures. + Coordinate ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (New York, NY)
- …Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and applicability both verbally ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (Charlotte, NC)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- Tradeweb (Jersey City, NJ)
- …Microsoft Suite; experience navigating a Security Master GUI a plus + FINRA Series 7 and/or related licenses preferred **Additional Information** Tradeweb is ... committed to providing valuable and competitive benefits. In addition to working in our culture of innovation and collaboration, we offer: + **Health Insurance** : Highly competitive medical, dental, and vision programs + **Hybrid Environment** : Our employees… more
- SMBC (Charlotte, NC)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com.… more
