ENDED
- Link: Compliance Analyst from TradeStation Securities
- Dates: Until December 31, 2021.
- Job location: Chicago, Illinois.
- Job description: Assist with the review of marketing and advertising communications for compliance. Perform ongoing monitoring of business partner activities to ensure consistency with regulatory requirements and applicable firm policies and procedures. Help to draft policies and procedures related to marketing and advertising and registrations. Register employees using the FINRA Gateway. Be familiar with FINRA Rules 1210, 1220 and 1240. Show general knowledge of FINRA, CFTC, NFA rules for communications and registrations. Maintain documentation, tracking and evidence of reviews completed according to established protocol.
|
Latest promotions:
Extra promotions:
Comments:
It's your turn: