Senior Specialized Examiner (Net Capital) recruitment

The Senior Specialized Examiner (Net Capital) will:The position serves as a policy adviser and technical authority regarding examinations of all aspects of complex broker dealers, with a focus financial and operational issue, particularly net capital (including Appendix E), possession and control, and custody requirements. Serve as a resource for NEP staff in the home office and regional offices when issues are encountered within the incumbent’s area of expertise. Conducts and directs compliance examinations of large and complex firms or those engaged in novel investment strategies or innovative Read more […]

May 5, 2012 • Tags: , • Posted in: Financial • Comments Off on Senior Specialized Examiner (Net Capital) recruitment