Finra Attorney Jobs in Kansas

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Senior RIA Compliance Officer The candidate will develop working understanding of the laws and regulations applicable to Private Wealth RIA business strategies, products, services, processes and third parties. Perform daily supervision ..

VP, Complex Product Supervision The candidate will be driving, cultivating, and institutionalizing a sustained and focused effort to enhance risk controls, identifying appropriate service level agreements, and addressing performance via NPS, ..