Regulatory Compliance & Supervision Lead (FINRA/SEC)
nfpNew York, NY
$73,800 to $118,100APPLY NOW (opens in a new tab)
Regulatory Compliance & Supervision Lead (FINRA/SEC)
nfpNew York, NY
3 days ago
Industries
Investment Banking and Securities IntermediationRegulation, Licensing, and Inspection of Miscellaneous Commercial SectorsMiscellaneous Intermediation$73,800 to $118,100
APPLY NOW (opens in a new tab)About the role
Lenox Advisors, part of NFP, is seeking a Junior Agency Supervisory Officer in New York to help uphold regulatory standards and provide mentorship across our broker-dealer network.
You will supervise registered representatives, review public communications, conduct audits, and deliver compliance training while collaborating with Compliance, Operations, and Field Leadership. Salary ranges from $73,800 to $118,100 with potential incentives.
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JOB OVERVIEW
Salary
$73,800 to $118,100
Experience level
Senior
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
3 days ago
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