Regulatory Analyst – Securities Fraud Investigations-OFDMI/Whistleblower recruitment
Job Summary: The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute violations of applicable federal securities laws and/or FINRA rules and regulations. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Essential Job Functions:Conducts comprehensive reviews and investigations into possible violations of FINRA rules and/or federal securities laws.Demonstrates knowledge of the rules and regulations Read more […]
April 23, 2012
• Tags: Information Technology careers in the USA, Regulatory Analyst, Securities Fraud Investigations-OFDMI, Whistleblower recruitment • Posted in: Financial • Comments Off on Regulatory Analyst – Securities Fraud Investigations-OFDMI/Whistleblower recruitment