Principal Counsel – Membership Application Program recruitment
Job Summary: Supervise the day-to-day activities of FINRA Regulatory Specialists and Program Analysts, and review, analyze and coordinate the distribution and processing of FINRA and Regulatory Service Agreement (“RSA”) clients’ new and continuing membership applications. Review business and financing transactions for compliance with relevant FINRA, SEC and Self-Regulatory Organization (“SRO”) rules and State law. Essential Job Functions:Perform technical review of member organizations’ capital contributions and various financing and corporate documents used by member firms in obtaining regulatory Read more […]
Compliance Examiner – Membership Application Program recruitment
We Work to Protect Investors. Join our Team.MAP Examiners review or investigate, in the context of new and continuing membership applications, 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), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Read more […]