Regulatory Coordinator – Member Regulation – Dallas, TX recruitment
Essential Job Functions:• Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.• Identify member firms’ potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.• Review and analyze complaints, trends, registration data and other relevant data.• Provide FINRA management with current firm information and assist FINRA management in resolving problem situations.• Act Read more […]
Regulatory Coordinator – Sales Practice, Member Regulation
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please. Job Summary: Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires Read more […]