Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with administrative matters to ensure compliance with FINRA, State and SEC rules and regulations. This position reports directly to the officers of the firm.
The ideal candidate will have a strong working knowledge of FINRA and SEC rules, supervision and securities sales practices .
•Web CRD ...
Jun 17 -
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