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.
Contact Info
| Phone | (973) 826-0537 |
|---|---|
| Stuart@RosenthalRecruiting.com | |
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.
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