Senior Branch Examiner - Denver

Only for registered members Denver, United States

1 month ago

Default job background
$70,000 - $130,000 (USD)

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.


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