Compliance Principal/Supervisor recruitment
Generalist experience includes:Supervision and Daily Trade Review; knowledge of trading turnover ratios; Advertising/Correspondence Review; Branch Examination experience; Complaint management; Risk identification; familiarity with WSP drafting and maintenance; Books and Records knowledge; and knowledge of SRO rules and regulations.Qualifications of our ideal candidate:Knowledge of federal, state and SRO rules and regulations pertinent to a FINRA registered Broker/Dealer.Proven expertise in coordinating various comprehensive compliance functions.Proven and Professional leadership abilities, strong Read more […]
August 3, 2012
• Tags: Compliance Principal, Investment Consulting careers in the USA, Supervisor recruitment • Posted in: Financial • Comments Off on Compliance Principal/Supervisor recruitment