V. Compliance and Qualification - License Requirements Required: FINRA Series 7 (General Securities Representative) and Series 63 (State Securities Regulations). Preferred: Series 57 (Securities Trader Qualification), CFTC registration (if dealing with futures/derivatives). Compliance Record: Have no SEC/FINRA penalty records and must pass the FINRA BrokerCheck and background checks. VI. Soft Skills Psychological Traits: Have extreme stress - tolerance and be able to adapt to the fast - paced and highly volatile Wall Street environment (such as market crashes, black - swan events). High - level Discipline: Be highly disciplined and strictly adhere to risk - control rules to avoid excessive risk exposure. Be familiar with New York trading hours (9:30 - 16:00 EST) and be able to adapt to long working hours (such as overtime during earnings seasons). Willingness to Learn Continuously: Have a strong willingness to learn continuously and keep track of the impact of AI and quantum computing on trading. VII. Plus Factors - Chinese - concept Stocks/Cross - border Experience Knowledge of Chinese - concept Stocks and Market Linkages: Be familiar with the regulatory risks of Chinese - concept stocks listed in the US (such as PCAOB audit disputes), the linkages between Hong Kong stocks/A - shares and US stocks, and Tesla's trading models and strategies. Networking Resources: Have an active social network in the Chinese - American financial community on Wall Street (such as CFA Society NY, Chinese Hedge Fund Association). Academic Achievements: Have published quantitative trading papers or possess patented algorithms (such as high - frequency order flow prediction models).
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