Surveillance Director – Member Regulation recruitment
Job Summary:Surveillance Directors are leaders who ensure that regulatory programs identify and address current and emerging risks at broker-dealers. Leveraging FINRA’s cutting-edge surveillance technologies and data capture, and active management of professional staff, Surveillance Directors manage and monitor the analysis and assessment of FINRA member firms’ finances, operations, sales practices, controls and systems. This position requires an in-depth understanding of broker-dealers’ business models, products and practices; excellent leadership, analytical and communication skills; consistently Read more […]
August 14, 2012
• Tags: Compliance, Legal careers in the USA, Member Regulation recruitment, Surveillance Director • Posted in: Financial • Comments Off on Surveillance Director – Member Regulation recruitment