Role maps
Role-to-licence maps for securities careers
Start with the job you want to do, then map the regulated activity, exam or competence check, register check, evidence pack, and official-source questions.
Securities broker and dealing representative licence map
Map brokerage, dealing, execution, placement, introductions, transaction compensation, representative exams, firm sponsorship, and public-register checks.
Investment adviser licence and exam map
Map personal recommendations, adviser registration, representative status, Series 65/66, suitability, disclosure, conflicts, and public-register checks.
Asset and fund manager licence map
Map discretionary portfolio management, fund management, responsible officers, portfolio managers, private fund advisers, NBFI context, custody, valuation, and application evidence.
Compliance officer licence and responsibility map
Map compliance officer, MLRO, SMF, responsible officer, responsible manager, monitoring, conduct, AML/CFT, reporting, and post-approval obligation ownership.
Investment research analyst licence map
Map research, analysis, model portfolios, recommendations, conflicts, issuer payments, sales follow-up, exams, advice boundaries, and register checks.
Corporate finance and capital raising adviser licence map
Map sponsor work, M&A securities advice, placements, capital raising, fund distribution, finder activity, transaction compensation, exams, and application evidence.
Securities operations and regulatory operations licence map
Map operations, settlements, account transfers, regulatory reporting, books and records, Series 99, custody handoffs, and supervision evidence.
Custody and client asset operations licence map
Map custody, client money, safe custody assets, qualified custodian questions, fee deduction, clearing/carrying, CASS, safeguarding, and evidence controls.
Family office investment professional licence map
Map single-family office, multi-family office, investment committee, asset management, advice, outside capital, fund marketing, compensation, and exemption questions.
Fintech trading platform operator licence map
Map platform software, order routing, matching, ATS, MTF/OTF, recognised market operator, dealing, custody, cyber, market conduct, and source checks.
AML/CFT and financial crime officer licence map
Map AML/CFT ownership, MLRO-style responsibilities, sanctions, customer due diligence, suspicious activity, transaction monitoring, independent testing, and evidence files.