Branch Office Manager recruitment

ResponsibilitiesReview and approval of Options, Equities and Futures Transactions and AccountsNew account documentation review and approval for Securities, Securities Options and Futures/Commodities AccountsReview of all correspondence (includes written and electronic (IM))Applicable Regulatory filingsError Account ReviewRegulatory Transaction Reporting Reviews Qualifications Must have Series 7 and 24 licensesAt least 5 years experience in a regulatory, compliance or a registered representative role in a broker dealerGood analytical skills including an understanding of process analysis Read more […]

July 13, 2012 • Tags: , • Posted in: Financial • Comments Off on Branch Office Manager recruitment