To ensure completion of risk-based examinations of FINRA member firms and registered representatives Essential... Job Functions: Manage 4 to 6 Examination staff Manage direct reports’ performance on an ongoing basis Schedule and staff exams...
The Principal Investigator, Specialist Teams, conducts high complexity investigations of FINRA member firms... FINRA high risk registered representatives. This is an expert level, professional position that requires an expanded...
examination of registered & Non registered office locations to determine compliance with industry regulations and the applicable... your potential? This role is responsible for providing compliance support to Equitable’ s branch locations both regionally...