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  • Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com
  • Subject: Regulatory Examinations & Inquiries New York, NY

Gerald Elliott posted a job: Regulatory Examinations & Inquiries New York, NY”Our client, a top-tier investment bank, seeks a Compliance professional to interact with the SEC, FINRA and other regulators concerning examinations and inquiries. Responsibilities include: Assisting in the management of securities examinations and on-going supervision coordination Develop and manage various tracking systems to manage and report on securities examinations and on-going supervisory requests Other ad hoc duties and activities as directed by the Director, Securities Regulatory Compliance Provide some logistical and administrative support to the Securities Regulatory Compliance unit Qualifications: 4+ years broker-dealer regulatory compliance/legal experience Demonstrated understanding of institutional and retail broker-dealers Demonstrated knowledge of mass information delivery systems such as SharePoint and Intralinks Demonstrated communication and logistical management skills Demonstrated understanding of investment banking Demonstrated understanding of securities laws and regulations To apply please submit your resume to Whitney Fairchild Info@compliancesearch.com”|

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Edited By REF 44.31551 on 12/30/2011, #53446