Financial Operations Examiner – New York, NY recruitment
Essential Job Functions: Examine and analyze financial, operational and sales practice compliance of Floor members and member organizations.Reviews trading floor activities of member firms to ensure compliance with SRO and SEC rules and regulations.Examines members and member organization books and records to verify that their activities are in compliance with applicable rules and regulations.Reviews member firms financial data to ensure compliance with established procedures and regulatory requirements.Interacts with firm personnel in areas such as trading, compliance, risk management and regulatory Read more […]
Financial Operations Examiner
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: Conducts on-site examinations and assesses Floor member and member organization’s financial and operational condition and compliance with securities rules and regulations. Essential Job Functions: Examine and analyze financial, operational and sales practice compliance of Floor members and member organizations.Reviews Read more […]