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Financial Operations Examiner
New York, NY
We are the largest non-governmental regulator for all securities firms doing business in the United States. All told, we oversee nearly 5,000 brokerage firms, about 174,000 branch offices and approximately 677,500 registered securities representatives. We are dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. Job Description: Conducts in house and on-site examinations and assesses Floor member and member organization's financial and operational condition and compliance with securities rules and regulations. Essential Job Functions: Examine and analyze financial and operational compliance of Floor members and member organizations. Examine members and member organization books and... See job listing >
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