Compliance Examiner – Member Regulation recruitment
Job Summary:Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances and operations; sales, Read more […]
Compliance Examiner – Membership Application Program recruitment
We Work to Protect Investors. Join our Team.MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Read more […]