-
Compliance Examiner
Chicago, IL
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: The Compliance Examiner performs a variety of specific duties including applying substantial or advanced analytical skills while conducting routine and special examinations of member firms to ensure compliance with government and our regulations. Essential Job Functions: Conducts on-site examinations of member firms performing the following: Evaluation of...
See job listing >
Send this job to a friend
