- Citigroup (Queens, NY)
- …+ Perform daily reviews of reports to support the WLRSU Team to ensure Wealth RRs registration is compliant with FINRA Rules **Qualifications:** + FINRA Series ... ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy....SharePoint, Adobe. Knowledge in Visio,Tableu a plus. + FINRA License and Registration experience a plus +… more
- Wells Fargo (Bedminster, NJ)
- …Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight ... practices within the Branch(es). You will ensure the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The… more