Regulatory Coordinatore recruitment

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 of assigned member firms.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 Read more […]

July 5, 2012 • Tags: , , • Posted in: Financial • Comments Off on Regulatory Coordinatore recruitment