Market Leader and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices. 2.... Perform pre-approvals on transactions. 7. Performs ongoing special projects assigned by Sales Supervision Manager. 8...
laws and regulations. Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA... skills and discover what you excel at—all from Day One. Job Description Provides direct sales supervision of securities...