Senior Compliance Officer – S7 & S24
FINRA Series 7 and 24 Experience in the broker dealer and RIA environments Experience dealing with FINRA and the SEC Has worked in a supervisory role in the compliance field. Has experience in reviewing and approving marketing materials, Responsible for the trade surveillance area. (Blotter review, alert management, vendor management), REG BI, Suitability. Knowledge of NetX360, Catalyst, Quest CE, Global Relay Manage employee registrations (U4 and U5), trainings and license exams windows. Manage Broker Dealer and RIA registrations Knowledge of FINRA Rule 15a-6, Chaperoning.
Qualifications