Description The Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group’s broker/dealer and registered investment advisers throughout the examination process. The Regulatory Exam Manager is responsible for coordinating all aspects of firm and branch level examinations by state or federal agencies, as well as industry regulators such as FINRA. They monitor and track findings through remediation and closure and serve as the primary liaison wit…
Completá tu perfil y te avisamos cuando se publiquen concursos y oportunidades laborales en las cuales puedas aplicar o se ajusten a ti.
Para que te mantengamos informado de empleos como este — Senior Compliance Analyst - Regulatory Exams
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