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 – Sales Practice, Member Regulation
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please. Job Summary: 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 Read more […]