Gender

Male

Location

Hollis, NY

Tell us more about who you are, what you do and where you want to be. What are your main business challenges? (Tip: provide your current Job Title, Industry, company or/and paste your Linkedin profile here). Use as many relevant keywords as possible. Tell us what you can offer the community. What sorts of discussions, events, and activities you can participate in.

Conduct on-site audits of Agencies and Branch office locations, in accordance with the Broker Dealer Branch Examinations and Compliance Testing Program and Protocol, to ensure that regulatory and Broker-Dealer policies, procedures and requirements are adhered to as per FINRA Rule 3010. Identify areas of non-compliance and document findings through written reports addressed to Agency and Department Management, and ultimately ensure that action plans are designed and implemented in the Agencies to avoid recurrence of compliance issues.

I am interested in

No