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 […]
August 26, 2012
• Tags: Compliance, Legal careers in the USA, Membership Application Program recruitment, Principal Counsel • Posted in: Financial • Comments Off on Principal Counsel – Membership Application Program recruitment