by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 30, 2014
Stockbroker Trainees
NEWNational Securities
- Melville, NYCompany Description: Established 1947, National Securities is a full service, high energy independent brokerage firm with over 75 offices. We offer a comprehensive range of...
Investment Banking Experienced Analyst
B. Riley & Co., Llc , Member Finra & Sipc
- Los Angeles, CA) Preparing comprehensive information packages, pitchbooks, information memoranda, management presentations and marketing materials Compiling prospective acquirer lists Assisting...
Corporate Controller FINRA
NEWAppian Staffing
- Tampa, FLCompany Description: Appian Staffing is a National recruiting firm that specializes in exceeding expectations by placing the top tier of candidates, and we offer among the top...
Investment Support Associate - Broker Service Center - FINRA Series 7 Required
JPMorgan - Finance Industry
- San Antonio, TXChase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...
Regulatory Analyst, (Contractor) Options Regulation
NEWFinra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in New York, NY. To be considered for this position,...
Surveillance Assistant - Member Regulation, ROOR
NEWFinra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Surveillance Assistant opening in New York, NY. To be considered for this...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- Denver, COWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Denver, CO. To be considered for this position,...
Training Curriculum Program Manager - Learning Solutions Catalog- Rockville, MD or New York, NY
Finra
- Rockville, MDWe Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Curriculum Program Manager, Catalog...
Training Manager, eLearning - Rockville, MD or New York, NY
Finra
- Rockville, MDWe Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Training Manager, eLearning opening...
Training Manager, Regulatory Training - Rockville, MD or New York, NY
Finra
- Rockville, MDWe Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Training Manager, Regulatory...
Training Curriculum Program Manager - Risk and Surveillance Training Rockville, MD or New York, NY
Finra
- Rockville, MDWe Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Curriculum Program Manager, Risk &...
Enforcement Counsel
Finra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Enforcement Counsel opening in New York, NY. To be considered for this position,...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY . To be considered for this position,...
Surveillance Assistant - Member Regulation, ROOR
NEWFinra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Surveillance Assistant opening in New York, NY . To be considered for this...
Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options
Finra
- New York City, NYWe Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY . To be considered for this position,...
Stock Broker Trainee
NEWGlobal Arena Capital
- New York City, NYWe are a Midtown Manhattan boutique brokerage firm seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and sponsorship for Series 7 & 63 exams.
Accountant II
NEWKforce Inc.
- Saint Louis, MOKforce is working with a St. Louis, Missouri (MO) area company in search of an Accountant II. This is a great opportunity for a full time position with this company. Job Scope:...
Analyst
NEWAPA International
- New York City, NYPrestigious Financial Institution is seeking an Analyst will be a key supporting member for Sr. Management of an M&A department. Some of the responsibilities will include the day...
Call Center Representatives
NEWRandstad
- Pennington, NJOur client, a large bank located in Pennington, NJ, has a need for call center reps. This is a 6 month temporary role with a Strong possibility of going permanent. This is a great...
Compliance Officer
NEWCraig Scott Capital
- Uniondale, NYJob Description: Regulatory Compliance Officer Generalist with strong compliance background in retail Brokerage. Comprehensive understanding of SEC/FINRA Rules and Regulations.
Administrative Paraplanner
NEWCareer Development Partners
- Waterloo, IAAssist financial advisors and associate financial advisors in the financial planning workflow. Complete internal business tracking logs and verify transaction accuracy;...
Administrative Paraplanner 46002
NEWCameron Craig Group
- Waterloo, IAAssist financial advisors and associate financial advisors in the financial planning workflow. Complete internal business tracking logs and verify transaction accuracy;...
Internal Sales Associate
BNY Mellon
- New York City, NYThe Internal Wholesaler's role is to actively solicit new investment product sales within an assigned geographic region through telephone presentations to registered...
Corporate Controller
NEWAppian Staffing
- Miami, FLCompany Description: Appian Staffing is a National recruiting firm that specializes in exceeding expectations by placing the top tier of candidates, and we offer among the top...
Administrative Assistant
NEWCasselton, NDSecurities America, Member FINRA/SIPC, a financial services company, is seeking a full-time administrative assistant. Our branch office is located at 41 Langer Ave S, Casselton,...
Financial Advisor
NEWAXA Advisors
- Charlotte, NCCompany Description AXA Advisors LLC is a member of the global AXA Group AXA Group refers to AXA a French holding company for a group of international insurance and financial...
Financial Advisor
NEWGeary Kornelik & Associates
- Chicago, ILCompany Description: About Geary Kornelik & Associates Geary Kornelik & Associates is a search and placement firm based here in Chicago that truly is "By bankers, for bankers".
Financial Advisor
NEWThrivent Financial
- Bloomington, ILCompany Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...
Financial Advisor
NEWDMG Financial
- Denver, COCompany Description Our fast growing organization of experienced financial professionals continues to grow from coast to coast If you are an experienced financial professional...
Financial Advisor
Cambridge, OHCompany Description: A solid, growing packaging company with multiple locations has a need for a Customer Service / Office Manager in the Dallas area. Job Description: ~~Our...
Financial Advisor
American International Group
- Houston, TXWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
Financial Planning Services
- Boise, IDJob Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...
Financial Advisor
BB&T Bank
- Charlotte, NCEssential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...
Financial Advisor
NEWCypher Financial
- Los Angeles, CAJob Description Welcome to your opportunity to have the best joband last job in your life. This is an opportunity for financial professionals to operate a global franchise. We...
Financial Advisor
NEWMutual of Omaha Advisor Careers
- Troy, MIA Career with Us Will Provide You with: •Marketing plan we help you customize to build your brand effectively •A comprehensive training program focused on people and marketing...
Financial Advisor
NEWBMO Financial Group
- Orland Park, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Representative
NEWModern Woodmen of America
- Waynesboro, TNCompany Description: Modern Woodmen of America is owned by and operating for our growing membership of more than 759,000 individuals. We were founded in 1883 to care for widows...
Financial Representative
NEWThrivent Financial
- Carbondale, ILCompany Description Thrivent Financial isn t your typical Fortune organization We re a faith based membership organization committed to strengthening Christian communities by...
Financial Representative
NEWThrivent Financial
- St. Charles, MOCompany Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...
Financial Representative
Wellesley Financial Group & Insurance Agency
- Wellesley, MAJob Description To be a Financial Representative is to be passionate about people and their financial betterment. Successful Financial Representatives at our firm have a drive to...
Asset & Wealth Management Legal Group
Compliance Search Group
- New York City, NYof Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. ... hundreds of Compliance professionals ranging from staff levels to Chief Compliance...
Chief Compliance Officer
Boutique Investment Management Firm
- Boston, MAcompliance policies and procedures to ensure compliance by the firm with relevant FINRA ... sales practice oversight, training, and FINRA registration and licensing activities.
Corporate Controller FINRA
NEWAppian Staffing
- Tampa, FLreceivable • Responsible for maintaining compliance with the FINRA standards, and reporting specific data to the SEC as per regulatory requirements • Recommend and implement...
Senior Compliance Officer
Private Wealth & Asset Management Firm
- Chicago, ILand quarterly compliance certifications. The Compliance Officer. Conducts ongoing testing ... and updates Assists with periodic client compliance questionnaires Conducts trade...
Securities Compliance Consultant
NEWGeneva Consulting Group
- New York City, NYNYC seeks someone with experience working in compliance at a senior level. You will need ... You should know how to draft summaries for compliance and summarize regulations. Client...
Senior Compliance Officer
Major International Bank
- New York City, NY(O T) Compliance is part of the Markets Compliance team within ICG Compliance. The ... compliance guidance and administering Compliance policies/procedures as needed in a...
Director, Business Compliance
NEWLeading Investment and Insurance Company
- Hartford, CTresponsibility for all sales and marketing compliance issues (including compliance ... Assisting with compliancetraining of HIMCO s employees (including an annual compliance tr...
BSA Compliance Officer
Leading Financial Services Firm
- New York City, NYregulatory change and providing relevant compliance advice to clearly define the ... of a comprehensiveCompliance program for FINRA Requirements: Must have Series 24, 7,...
Compliance, GSAM Marketing Team Compliance, Analyst-VP
Full Service Global Investment Bank
- New York City, NYorganization, or FINRA. Prior advertising compliance experience preferred. Familiarity with SEC and FINRArules Must have strong interpersonal, communication, written and...
Head of Investment Advisory Compliance
Human Resources Focused Consulting Firm
- New York City, NYTraining Marketing Material Review Ensure compliance with internal guidelines, ... advisor rules, GIPS standards, and FINRA where applicable FINRA rules for our...
Americas Operational Compliance - VP
Leading Global British Investment Bank
- New York City, NYPartner with Product Compliance and provide compliance coverage to the Regulatory Risk ... and transaction reporting Monitor day-to-day compliance issues and escalate to management...
AVP, Compliance Monitoring and Testing
Leading Global British Investment Bank
- New York City, NYreview cycle requirements Perform testing of compliance and regulatory related controls to ... and conductcompliance reviews Work with Compliance and Business colleagues to prepare...
Compliance Officer - Markets Regulatory Implementation
Major International Bank
- New York City, NYOperations, Technology, Finance, and other Compliance areas on preventing and detecting ... issues and promoting a culture of compliance. Qualifications Bachelors degree...
IBD Compliance Advisory â??Director
Leading Global British Investment Bank
- New York City, NYPrivate Side Compliance officers regarding: Compliance-related advice and effective ... Compliance experience 2+ years Private Side Compliance experience Preferred...
Senior Associate - Compliance
Leading Mutual Life Insurance Firm
- Parsippany, NJExperience with the investment advisory and/or broker dealer compliance programs preferred ... purpose broker dealer, registered with FINRA. This individual will be responsible...
Compliance Director - Electronic Communications Surveillance
Major International Bank
- Jersey City, NJand Supervision program. The regional Compliance Electronic Communication teams ... will have strong technical knowledge of compliance regulations (with a concentration...
Assistant Vice President, Compliance Officer
New York City, NYas separately managed accounts to assess compliance with any or all of SEC, FINRA, ... to business unit personnel to promote compliance; Provide compliance advice and...
Compliance Officer- Fixed Income (Credit Markets)
Major International Bank
- New York City, NYinclude providing day-to-day Compliance advice relating to trading, ... approvals and interpretation of internalcompliance policies; Draft compliance...
Compliance Officer FRC Rates Advisory
Private Wealth & Asset Management Firm
- New York City, NYinclude: Advisory Responsible for providing compliance advice to the Rates, US Treasury, ... for interpreting and enforcing CFR, FINRA, CFTC applicable rules and regulations.
Investment Banking Compliance AVP/VP
Leading Global British Investment Bank
- New York City, NYIBD Syndicate Compliance officers regarding: Compliance-related advice and effective ... the Compliance Control Room and Equities Compliance. Global coordination with...
Product Compliance - U.S. Bancorp Investments
Nationally Chartered Bank
- Saint Paul, MNPartners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) Consultan ... perform product analysis, and lead certain Compliance projects. Participates in...
Equities Compliance Officer
Private Wealth & Asset Management Firm
- New York City, NYadvisory group of Equities Compliance. The compliance officer will provide advice and ... written supervisory procedures and Compliance Bulletins Reviewing descriptions...
Senior Compliance Counsel
Global Investment Firm
- Chicago, ILetc Assist, together with the Chief Compliance Officer, with the annual review of ... legal and/or compliancematters to the Chief Compliance Officer and senior management.
Product Compliance - U.S. Bancorp Investments
Nationally Chartered Bank
- Seattle, WAPartners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) Consultan ... perform product analysis, and lead certain Compliance projects. Participates in...
Asset Management AML/Compliance Senior Audit Manager
Global Securities, Investment and Retail Banking Firm
- New York City, NYstrong working relationships with AM Compliance management. Drive AML audit ... AM (e.g. FINRA, SEC, OCC, FRB, CFTC) and key Compliance priorities (e.g. AML, Dodd-Frank,...
Trade Review Compliance Officer
American Financial Services Holding Company
- Charlotte, NCProfessionals Desired Skills: 1. Series 4 - FINRA Options Principal Minimum ... - Financial Industry Regulatory Authority (FINRA) General Securities Principal License...
Compliance Analyst Sr/RIA-BD
Kansas City, MOand accurate implementation of regulatory compliance requirements. -Review business ... to effectively obtain and communicate compliance information -Demonstrates...
Compliance Sr. Risk Officer - Securities
American Financial Services Holding Company
- Charlotte, NCthe Firms Investment Services full service compliance program. Assist the Compliance ... FINRA Notices to Members, FINRA/SEC Updates and News Releases) that are applicable to assi...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- Denver, COFINRA is seeking a well-qualified individual for our Compliance Examiner opening in Denver ... reports to broker-dealer executives and FINRA management, including information...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- New York City, NYFINRA's training program) is required. FINRA examiners work in a team environment, ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is...
Compliance Analyst
NEWAmeriprise Financial
- Minneapolis, MNare reasonably designed to achieve compliance with our regulatory requirements ... are reasonably designed to achieve compliance with applicable securities laws. *...
Compliance Analyst
NEWAmeriprise Financial
- Minneapolis, MNare reasonably designed to achieve compliance with our regulatory requirements ... are reasonably designed to achieve compliance with applicable securities laws. •...
Senior Compliance Analyst
ING Financial Services
- Windsor, CTVoya is looking for a Senior Compliance Analyst candidate who enjoys ... compliance questions and the ability to communicate with all levels inside...
Compliance Officer - FRC Rates Advisory
NEWUBS
- New York City, NYAdvisory * Responsible for providing compliance advice to the Rates, US Treasury, ... for interpreting and enforcing CFR, FINRA, CFTC applicable rules and regulations.
Equities Compliance Officer
NEWFrink Hamlett Legal Solutions
- New York City, NYwritten supervisory procedures and Compliance Bulletins Reviewing descriptions ... equities trading generally and have relevant compliance experience covering equity...
Senior Compliance Professional - SEC
NEW3coast
- New York City, NYtechnology infrastructure. Perform other compliance-related responsibilities and special ... Knowledge of CFTC / NFA as well as FINRA requirements is a plus...
Senior Compliance Analyst- Marketing Compliance
NEWWall Street Personnel
- Los Angeles, CAliterature and associated disclosures for compliance with the Advisers Act, FINRA rules ... Maintaining the books and records of compliance approved marketing material;...
Compliance Analyst Job
NEWThomson Reuters
- Brookfield, WIteam is currently seeking an additional compliance analyst to join their ... and/or operations department. - Knowledge of FINRA, SEC, MSRB and other regulations and...
Compliance Analyst, Marketing
NEWWellington Management Company
- Boston, MACompliance team within the Legal and Compliance Group working under the direction of ... FINRA, CFTC and NFA advertising and sales literature compliance; •Knowledge about...
Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options
Finra
- New York City, NYenforced by FINRA; performs preventive compliance functions. Presents investigative ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
Compliance Analyst-RIA
NEWUMB Bank
- Kansas City, MOrequirements, in-person presentations, compliance bulletins and/or email ... the development of value-added business compliance and control improvement...
Sr Agency Compliance Consultnt
NEWMetLife
- Southborough, MAwritten procedures and compliance delegations Job Requirements · FINRA Series 7, 24 ... skills · Knowledge ofFINRA rules and regulations · FINRA Series 6 and 26 preferred...
Equities Compliance Officer
NEWFrink Hamlett Legal Solutions
- Weehawken, NJwritten supervisory procedures and Compliance Bulletins Reviewing descriptions ... equities trading generally and have relevant compliance experience covering equity...
Senior Compliance Professional
NEWThe Big Game Hunter
- New York City, NYimplementation, and testing of compliance programs for clients in the ... Responsibilities Manage team ofcompliance professionals: o Advising clients on...
Equities Compliance Officer
NEWFrink-hamlett Legal Search
- New York City, NYwritten supervisory procedures and Compliance Bulletins * Reviewing descriptions ... equities trading generally and have relevant compliance experience covering equity...
Compliance Examiner - Member Regulation, Sales Practice
NEWNew York City, NYJoin our Team.FINRA is seeking a well qualified individual for our Compliance Examiner ope ... FINRA's training program) is required. FINRA examiners work in a team environment,...
Compliance Analyst
E*TRADE Financial
- Jersey City, NJof the Brokerage Compliance Department, the Compliance Analyst in Testing & Inspections ... The ComplianceAnalyst also will provide additional compliance support, such as addressing...
Assistant Regulatory Counsel & Compliance Officer
Major, Lindsey & Africa
- New York City, NYoverseeing and coordinating a global compliance program spanning multiple ... relevant asset management regulatory and compliance experience either in-house at a...
Compliance Examiner - Member Regulation, Membership Application Program
New York City, NYFINRA is seeking a well qualified individual for our Compliance Examiner opening in Member ... executives, consultants/ counsel and FINRA management, including information...
Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options
New York City, NYFINRA is seeking a well-qualified individual for our Compliance Examiner opening in New Yo ... enforced byFINRA; performs preventive compliance functions. * Presents...
Attorney
Leading Provider of Insurance, Investments, and Retirement Products
- Los Angeles, CAand institutional capacities. Review, draft and negotiate investment advisory, ... and retail investment adviser setting. Knowledge of FINRA rules. , , Regulatory...
A&Q Attorney
Private Wealth & Asset Management Firm
- New York City, NYdifferent control functions, and investment and marketing teams and UBS affiliates who ... across different jurisdictions, the attorney will be expected to work and...
White Collar Crime Associate Attorney
NEWLsj
- New York City, NYaspects of criminal trials and related civil and administrative actions in federal and ... and financial institutions on preventive and remedial measures before and after...
Associate Attorney - Securities
Winget, Spadafora & Schwartzberg
- New York City, NYManhattan office. Experience must include FINRA and securities and arbitration ... firm offers competitive pay commensurate with experience and an excellent benefits...
LITIGATION ATTORNEY
Investment Firm Providing Private and Institutional Brokerage
- Los Angeles, CAWedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. ... and identify issues and develop solutions and the flexibility to manage occasional...
A&Q Attorney
Private Wealth & Asset Management Firm
- Stamford, CTdifferent control functions, and investment and marketing teams and UBS affiliates who ... across different jurisdictions, the attorney will be expected to work and...
VP, Attorney
Global Investment Solutions Provider
- Newport Beach, CAand review of materials for board meetings and will handle other legal and regulatory ... of FINRA rules, NYSE listed company rules and non-US securities laws a plus Strong oral...
Corporate Fund Formation Associate Attorney
Lsj
- New York City, NYand internationally ... agreements -Compliance rules and regulations of SEC, FINRA and other regulatory...
Corporate Attorney--Fund Formation
Lsj
- New York City, NYExcellent academic credentials required (Law Review and/or Moot Court accolades desired) ; ... compensation agreements -Compliance rules and regulations of SEC, FINRA and other...
Senior Regulatory Attorney
Diversified Financial Services Firm Focusing On Investment Banking and Financial Planning
- Saint Petersburg, FLand its subsidiaries, including SEC, FINRA, and state regulatory inquiries, ... preparing and presenting case theories and strategies. Preparing and delivering...
Assistant General Counsel / Lead Attorney
Leading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLinquiries, exams, and investigations; and participates in long term and strategic ... and transfers, use of Company facilities, and all other terms, conditions and...
Attorney, Sales Practice Policy
Finra
- New York City, NYadvice to Member Regulation staff, FINRA membership, and other interested parties ... federal securities lawsand the rules and regulations thereunder. * Draft legal and...
BlackRock Trading and Derivatives Attorney
BlackRock
- Albany, NYwith SEC, FINRA and CFTC rules relating to derivatives and trading platforms • ... and desire and learn quickly, be flexible and collaborative • Solutions oriented,...
Corporate Fund Formation Associate Attorney
Lsj
- New York City, NYand internationally ... agreements -Compliance rules and regulations of SEC, FINRA and other regulatory...
A&Q Attorney
Private Wealth & Asset Management Firm
- Stamford, CTdifferent control functions, and investment and marketing teams and UBS affiliates who ... across different jurisdictions, the attorney will be expected to work and...
Senior Counsel
PNC
- Pittsburgh, PAfrom FINRA and the SEC; managing FINRA arbitrations; assisting the retail-broker ... particularly rules, regulations, and practices of the CFPB, SEC, FINRA, and OCC is...
Attorney, Sales Practice Policy
Financial Industry Regulatory Authority
- New York City, NYbenefits, and incentive compensation, FINRA offers immediate participation and ... FINRA has approximately 3,400 employees and operates from Washington, DC, and New...
A&Q Attorney
Private Wealth & Asset Management Firm
- New York City, NYdifferent control functions, and investment and marketing teams and UBS affiliates who ... across different jurisdictions, the attorney will be expected to work and...
Securities Counsel (Contractor) - FINRA
Financial Industry Regulatory Authority
- New York City, NY• Advise and participate in examination and surveillance reviews and complex ... and presenting documentary and testimonial evidence, cross-examining witnesses, and...
Digital Attorney
Complistaff
- Newark, NJof FINRA, SEC, a plus coupled with FTC, FCC and ESIGN ACT as they pertain to digital and ... and compliance issues Excellent written and communication skills Substantial...
Associate Attorney
Perkins Coie
- New York City, NYSEC, U.S. Attorney, NY AG, Manhattan DA or FINRA. Candidates must have completed a federal ... demotion, compensation, benefits, social and recreational activities and...
E-Discovery/SEC/FINRA Document Management Counsel Role (Exclusive)
Garrison & Sisson
- Washington, DCtime position for an experienced e-discovery and internal investigations attorney. The ... financial services practice is booming and includes FINRA and SEC Enforcement...
Compliance Examiner - Member Regulation, Sales Practice
Finra
- Kansas City, MOfinances and operations; sales, underwriting and trading practices; and supervisory and ... and books and records. * Develops evidence and analysis in support of enforcement...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- Denver, COfinances and operations; sales, underwriting and trading practices; and supervisory and ... and books and records. * Develops evidence and analysis in support of enforcement...
Senior Prosecuting Attorney (RLD #101005...
New Mexico State Personnel Office
- Santa Fe, NMwith the Securities and Exchange Commission, FINRA, the offices of the Attorney General, ... Attorneys, the U.S.Attorney, the FBI, and the U.S. Postal Inspector and a variety...