Expired Financial Examiner jobs in Jersey City, NJ
Jersey City, NJ
about $167K / yr.
To conduct risk-based examinations of FINRA member firms and registered representatives Essential 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. Evaluate firms’...
Jersey City, NJ
about $167K / yr.
To conduct risk-based examinations of FINRA member firms and registered representatives Essential 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. Evaluate firms'...
Jersey City, NJ
$27,705-$286,288/year (est.)
To conduct risk-based examinations of FINRA member firms and registered representatives Essential Job Functions: Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision Conducts and memorializes discovery and risk reviews of low to medium-high risk and...
Jersey City, NJ
$27,751-$286,763/year (est.)
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews in examinations of medium to high risk and/or complex trading firms with moderate supervision. Evaluate firms'...