Description :
Primary responsibilities include:
-Assisting in the development, maintainance and certification of the firms written supervisory procedures as required by NASD Rule 3013.
-Monitoring and reporting on supervisory controls as required by NASD Rule 3012.
-Supporting and advising management on new policy, product, marketing, acquisition and system initiatives.
-Performing tests, reviews and inspections of retail and capital markets brokerage activities.
-Investigating customer complaints as well as high risk transactions/activities identified through the performance of monitoring procedures.
-Identifying and reporting to managment any weaknesses in the firm's supervisory system as well as violations of firm policies or industry regulations/standards.
-Participating in the ongoing training of sales, supervisory and compliance personnel on key compliance and regulatory issues.
-Helping facilitate regulatory and internal audit inquiries/exams.
-Participating in assigned committees or projects to address compliance issues as needed.
SERIES 7, 23 0R 24 PREFERRED
