Senior Branch Examiner - Denver
1 month ago

Job summary
The Branch Inspection Program is one pillar of the IMBD Central Compliance team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27,and various internal Firm policies and procedures.
This team may also participate in special projects within the Central Compliance team and contribute to its overall reporting.
This is a remote opportunity open to hiring in Florida or surrounding states, or Colorado or surrounding states.
Job description
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