This job ad has been posted over 40 days ago...
Management Consulting Firm – Specialist in New FINRA Membership Matters
at The Compliance Search Group in New Jersey or Florida
Our client, a well-respected Broker Dealer Consulting Firm, seeks an individual to assist broker-dealer clients with the registration process with FINRA. Our client seeks a bright, sharp, motivated individual with FINRA and new membership experience. While serving as a management consultant to the firm’s clients, you will be a full time employee of this well respected firm.
Responsibilities:
The management consultant will consult on new broker-dealers set-ups, including preparation of business plans, written supervisory procedures and continuing education plans. He or she will build and submit required documentation including Form BD, Form NMA; prepare clients for pre-membership interviews; and respond to FINRA inquiries throughout the process.
The management consultant will also provide regulatory consulting for broker-dealers seeking to change their membership (Rule 1017) by upgrading products; converting from limited to fully-disclosed or limited to self-clearing; or changing ownership and mergers. In such cases the management consultant will prepare and submit required documentation and respond to FINRA inquiries throughout the process.
To apply or inquire please email Jack Kelly at jkelly@compliancesearch.com
Responsibilities:
The management consultant will consult on new broker-dealers set-ups, including preparation of business plans, written supervisory procedures and continuing education plans. He or she will build and submit required documentation including Form BD, Form NMA; prepare clients for pre-membership interviews; and respond to FINRA inquiries throughout the process.
The management consultant will also provide regulatory consulting for broker-dealers seeking to change their membership (Rule 1017) by upgrading products; converting from limited to fully-disclosed or limited to self-clearing; or changing ownership and mergers. In such cases the management consultant will prepare and submit required documentation and respond to FINRA inquiries throughout the process.
To apply or inquire please email Jack Kelly at jkelly@compliancesearch.com
Published at 25-03-2010
Viewed: 90 times
Viewed: 90 times