Senior Compliance Analyst/Registered Principal Job in Montpelier 05604, Vermont US

  Summary Equity Services, Inc. (ESI), Member FINRA/SIPC, is a broker/dealer and registered investment advisor offering an extensive line of financial products and services including mutual funds, unit investment trusts, stock and bond trading, public limited partnerships, real estate investment trusts, variable annuities and asset management services.  We are seeking a qualified individual to ensure ESI’s main office, offices of supervisory jurisdiction, branch offices, employees and registered representatives, are in compliance with the rules set forth by the SEC, FINRA, MSRB, state Blue Read more […]

December 5, 2010 • Tags: , , • Posted in: General • Comments Off on Senior Compliance Analyst/Registered Principal Job in Montpelier 05604, Vermont US