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Banking & Investment Compliance Team, Series 24 Great opportunity for a licensed Series 24 Principle or Series 9/10 to work for a global investment bank. This Buffalo location needs an investment professional who also has a current Series 7 and Series 65. You will monitor new account reviews and make sure the business unit is in compliance with company and FINRA regulations. You will have interaction with sales teams, FINRA and also clients. As part of a highly collaborative team, asking tough questions and making tough decisions is a daily. After registering you may be able to apply for this job directly (if still active) on ((None))'s site. Future job matches may be sent from Geebo approved job partners.
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