Senior Advisor, PCG Branch Exams

About this role

Job Description Summary Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.

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• Securities-Compliance
• Branch-Examination
• Regulatory-Compliance
• FINRA-Compliance
• Broker-Dealer-Compliance
• Senior-Pharmacy-Advisor
• United States

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