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Regulatory Examiner-11 years experience
As a Principal Examiner with FINRA for nearly 11 years, I have developed my knowledge and skills in an ever changing financial world that could be an asset for your firm. My major responsibilities include leading a field examination team conducting regulatory examinations of FINRA member firms and monitoring the stability, accountability, and supervisory structure of FINRA member firms to ensure compliance with NASD, MSRB, and SEC rules and regulations.
Financial Examiner
About Me
Industry: |
Accounting & Finance |
|---|---|
Occupation: |
Financial Examiner |
Education level: |
Bachelor |
Will Relocate: |
Yes |
Location: |
Liberty, MO |
