Surveillance Director – Member Regulation recruitment
Job Summary:Surveillance Directors are leaders who ensure that regulatory programs identify and address current and emerging risks at broker-dealers. Leveraging FINRA’s cutting-edge surveillance technologies and data capture, and active management of professional staff, Surveillance Directors manage and monitor the analysis and assessment of FINRA member firms’ finances, operations, sales practices, controls and systems. This position requires an in-depth understanding of broker-dealers’ business models, products and practices; excellent leadership, analytical and communication skills; consistently Read more […]
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 […]
Regulatory Coordinator – Sales Practice, Member Regulation recruitment
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 frequent contact and interaction with management of assigned member firms. Essential Job Functions:Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.Understand the regulatory risks of the products offered by and business activities Read more […]
Regulatory Coordinator – Member Regulation recruitment
Description We Work to Protect Investors. Join our Team.FINRA is seeking a well qualified individual for our Regulatory Coordinator opening in our Boca Raton, FL location. To be considered for this position, please submit your resume through our careers site. No phone calls please. 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 Read more […]