Senior Branch Examiner jobs - Long Island City, NY
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| Mar 20 | Director Of Private Bank Compliance | New York, NY | |
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representatives for the private bank branch office and Manage relationships with ... of rules and regulationsReviews all branch correspondence, and monitors employee... more |
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| Mar 19 | Financial Operations Examiner | Finra | New York, NY |
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Additional Education/Experience Requirements for the Associate Principal Examiner ... Additional Education/Experience Requirements for the Principal Examiner Include: *... more |
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| Mar 19 | Principal Examiner / Trainer | Finra | New York, NY |
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Additional Essential Job Functions/Responsibilities for the Principal Training Examiner ... Additional Education/Experience Requirements for the Principal Training Examiner Include:... more |
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| Mar 19 | CSE Examiner | Finra | New York, NY |
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Senior Examiner, Associate Principal Examiner or Principal Examiner opening in ... Additional Essential Job Functions for the Associate Principal/Principal Examiner... more |
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| Mar 19 | Financial Operations Examiner | Finra | New York, NY |
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Additional Education/Experience Requirements for the Associate Principal Examiner ... Additional Education/Experience Requirements for the Principal Examiner Include: *... more |
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| Mar 19 | Financial Examiner | Finra | New York, NY |
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well qualified individual for our Financial Examiner opening in our New York, NY ... than 4,900 brokerage firms, 170,000 branch offices and 660,000 registered securities... more |
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| Mar 19 | Regulatory Coordinator | Finra | New York, NY |
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regulatory work and assist other senior regulatory coordinators on complex ... firms, about 174,000 branch offices and approximately 677,500 registered... more |
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| Mar 19 | Regulatory Coordinator | Finra | New York, NY |
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regulatory work and assist other senior regulatory coordinators on complex ... brokerage firms, 170,000 branch offices and 660,000 registered securities... more |
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| Mar 19 | Undergraduate Intern - Member Regulation | Finra | New York, NY |
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or interviews with senior examiners. · Achieve an understanding and working ... 170,000 branch offices and 660,000 registered securities representatives. FINRA... more |
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| Mar 19 | Investigator | Finra | New York, NY |
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* Solid performance as an Examiner/Analyst, or at least five years of experience in ... than 4,900 brokerage firms, 170,000 branch offices and 660,000 registered securities... more |
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| Mar 19 | Investigator | Finra | New York, NY |
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* Solid performance as an Examiner/Analyst, or at least five years of experience in ... than 4,900 brokerage firms, 170,000 branch offices and 660,000 registered securities... more |
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| Mar 19 | Regulatory Coordinator | Finra | New York, NY |
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examination findings to member firms’ senior management. * Evaluate firm responses to ... 4,900 brokerage firms, 170,000 branch offices and 660,000 registered securities... more |
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| Mar 16 | Senior Branch Examiner | UBS | Weehawken, NJ |
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Summary and Mission: As the Senior Branch Examiner, you conduct pre-audit preparation ... and advisor activity ? Review and research branch office activities including, but not... more |
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| Mar 16 | Regulatory Coordinator | Finra | New York, NY |
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more than 4,900 brokerage firms, 170,000 branch offices and 660,000 registered ... examination findings to member firms senior management. Evaluate firm responses... more |
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| Mar 12 | Examiner - Consolidated Supervised Entity (FOCUS Report, SEC 15c3-1) | Finra | New York, NY |
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Senior Examiner, Associate Principal Examiner or Principal Examiner opening in ... Additional Essential Job Functions for the Associate Principal / Principal Examiner... more |
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