Financial Specialist Career Research and Resources
Financial West Group
Avg. Salary: $100,000 · Company Rank: Not Available
Independent Capital Management Inc
Avg. Salary: $100,000 · Company Rank: Not Available
Continental Pacific Properties
Avg. Salary: $100,000 · Company Rank: Not Available
Financial Network Investment Corporation
Avg. Salary: $100,000 · Company Rank: Not Available
Tricor Financial Group
Avg. Salary: $100,000 · Company Rank: Not Available
Yasutomo & Company
Avg. Salary: $100,000 · Company Rank: Not Available
Securities America, Inc.
Instituted and sustained strong supervisory partnerships with Registered Investment Advisers (RIAs), Investment Adviser Representatives (IARs), Office of Supervisory Jurisdiction (OSJ) branch offices and brokers. Conducted supervisory oversight of field operations, suitability transaction reviews, authorized new accounts, reviewed external communication, advertising, governed post trade reviews. Provided support, training...
Avg. Salary: $75,000 · Company Rank: Not Available
Chandler & Sullivan Inc.
Adhered to the policies and rules encumbered upon a FINRA member firm. Assisted in the drafting and maintenance of Written Supervisory Procedures (WSP) and Supervisory systems. Designed, implemented, and executed the firm's AML policy, Business Continuity Plan, Firm Element Continuing Education Program, Annual Compliance Review. Acted as the Registered Financial and Operations Principal, liaised for various legal and regul...
Avg. Salary: $75,000 · Company Rank: Not Available
Clayton/Covius
Avg. Salary: $50,000 · Company Rank: Not Available
Pence Construction
Avg. Salary: $50,000 · Company Rank: Not Available
