...a
better Compliance Consultant
is 30 seconds away...Compliance Consultant
1st GLOBAL-Dallas, TX, 75206
COMPLIANCE DEPARTMENT The Compliance Department is responsible for ensuring that all applicable FINRA and SEC regulations are met by 1st Global’s Financial Advisors and employees by keeping the Advisors informed about developments in the industry and at 1st Global and by providing ongoing compliance education and oversight. To this end, the Compliance Department conducts office inspections of each branch office of 1st Global to determine whether each office’s records are in compliance with SEC, FINRA, and State requirements, and provides training and consulting to advisors and their staff r...
Compliance Consultant Jobs in Dallas, Texas Jobs
1st GLOBAL | Dallas, TX, 75206 | >2
COMPLIANCE DEPARTMENT The Compliance Department is responsible for ensuring that all applicable FINRA and SEC regulations are met by 1st Global’s Financial Advisors and employees by keeping the Advisors informed about developments in the industry and at 1st Global and by providing ongoing compliance education and oversight. To this end, the Compliance Department conducts office inspections of each branch office of 1st Global to determine whether each office’s records are in compliance with SEC, FINRA, and State requirements, and provides training and consulting to advisors and their staff r...
Copyright © 2002-2008 Trovix, Inc. Your use of this service and the Trovix Site
is subject to our Terms of Use and Privacy Policy
is subject to our Terms of Use and Privacy Policy