Securities Compliance Examiner (Sales Practices) recruitment

The Securities Compliance Examiner (Sales Practices) will:Primarily relate to supporting examinations and projects relating to Sales Practices at large firms.The incumbent will be part of an interdisciplinary team charged with examining and reviewing sales practice risks at large firms. The incumbent will support the program in the execution of the of risk-targeted examinations to maintain regulatory scrutiny of the large firms, as well as analyzing the information across firms to alert parties to industry developments and help further focus future exams.  This position will also supportthe periodic Read more […]

May 6, 2012 • Tags: , • Posted in: Financial • Comments Off on Securities Compliance Examiner (Sales Practices) recruitment