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Rockville

    Associate Principal Examiner - Rockville, United States - Financial Industry Regulatory Authority

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    Description
    To conduct risk-based examinations of FINRA member firms and registered representatives. Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision. Conducts and memorializes discovery and risk reviews of l Associate, Examiner, Principal, Media


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    To conduct risk-based examinations of FINRA member firms and registered representativesEssential Job Functions:* Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.* Eval ...

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  • Diocese of Arlington Catholic Schools

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    1 week ago


    Diocese of Arlington Catholic Schools Arlington, United States

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  • US Export-Import Bank of the United States

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    3 weeks ago


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  • Capital City Public Charter School Washington, United States

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  • Loudoun County Public Schools Loudoun County, VA, United States

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    3 weeks ago


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  • Financial Industry Regulatory Authority , Inc. Rockville, United States

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