Compliance Examiner recruitment

•Perform Branch / Desk Reviews•Design and develop compliance examination audit plans to cover the review of annual branch office inspections, as well as the examination of key business units.•Manage performance of exams to ensure compliance with SRO rules, Firm Policy and recent regulatory developments or findings.•Independently formulate the methodologies for testing key elements of the business conducted by the branch and business units.•Communicate with key personnel to discuss business and regulatory concerns as well as to provide continuing education to reinforce Firm policy.•Prepare Read more […]

December 4, 2011 • Tags: , , • Posted in: Financial • Comments Off on Compliance Examiner recruitment