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Line of Service IFS Industry Not Applicable IFS State City NJJersey City Travel Requirements 020% Position TypeFull Time Auto req ID 17534BR PwC/LoS Overview ...
The ideal candidate has a minimum of 10 years of professional experience with a concentration in corporate tax. Fouryear bachelor degree is required; MST is ...
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BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORS? AXA Advisors LLC, a provider of investment and insurance strategies, can help people ...
For your reference, we have included the original job posting below.
Broker-Dealer Compliance Professional
Job Number:
44162134
Company Name:
Confidential Company
Job Location:
New York, NY Us
Job Category:
Accounting & Finance
Salary:
$100K+
Broker-Dealer Compliance Professional
Firm that provides compliance counsel to broker-dealers seeks professionals with experience in Broker-Dealer regulation. Preference will be given to candidates who have specific experience as to annual compliance testing under Rule 3012 as well as to AML Testing. FINRA experience is also preferred.
Candidates will be presumed to have the ability to work independently as it is expected that this position will require individuals to work in the offices of the firm’s clients on a frequent basis. While the firm is based in midtown Manhattan, it is expected this position may involve travel in and around the tri-state area as well as to the offices of clients based throughout the United States and occasionally internationally.
