Happy New Year, We’ve inserted below a brief description of a current opening for a Branch Examiner - based in New York, NY. Please call with any questions you may have and provide resume in WORD format.
Branch Examiner – Responsibilities include review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, SRO Rule and regulations. The Branch Examination review requires the ability to conduct one-on-one meetings/interviews with branch office management and personnel in addition to conducting the Firm’s Annual Compliance Meetings. The Branch Examiner follows a set of modules from the Branch Examination Program.
Two years Branch Examination, Broker-Dealer compliance or regulatory experience preferred. The position requires the individual to travel at least 60% of the time, domestically. Effective communication skills and attention to detail desired.
What else is new?Rock Music, Religion and Financial Convergence - to some degree?
- See Video as well as today's Bloomberg overview noting how/when Jagger/Ricards met in 1960 compares to Bitcoin TODAY.