FiNet Governance Senior Supervisory Control Specialist - Salt Lake City

Only for registered members Salt Lake City, United States

6 days ago

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+Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations+
+Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws+
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