Monday, February 17, 2014

Feb. 2014

Seeking current interest in this brief position description. Office near Wall St. (NY) with a company that is an established FINRA member Broker-Dealer.

Senior Compliance Officer - Position who will predominantly be responsible for the coordination of regulatory examinations and inquiries, Financial Industry Regulatory Authority (FINRA) Rule 3130 annual reviews (adequacy of supervisory procedures) and helping to perform the analysis of and response to customer grievances as the need arises.

If this opportunity or anything else may be of interest - or not let's speak by phone on this - soon in February or March 2014.

Please call (973) 826-0537 or send an email to: to discuss hiring,  job search, opportunities you are interested in that are listed or may be in the future. If you submit your resume - expect to receive a quick response.
Stuart Rosenthal
The Rosenthal Consulting Group LLC


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