FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (incl
Extensive knowledge of financial services and securities industry and of relevant rules applicable to FINRA and for which FINRA has oversight responsibility.
CAT is one of the largest data repositories globally, containing a complete record of all equities and options traded in the US and customer and account information for all US-based investors.
The Chief is also a member of a broader program management team and is responsible for the overall business architecture and design of the models/tools that enable FINRA’s investigative functions in partnership with Technology.
Essential Job Functions: Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
FEATURED BLOG POSTS
Making the Move to Salary Transparency
The salary transparency trend continues. Last year, Colorado passed its Equal Pay Transparency Rules, which required employers to include compensation in job postings, notify employees about promotional opportunities, and record job descriptions and wage records. Soon after, states like Washington, Nevada, Maryland, and Rhode Island followed suit.
Brand Reputation 101
People's initial perception of your organization is also known as your brand reputation. Your brand rep either encourages or discourages people from engaging with your company. This means the way people view your company will affect sales and even recruiting efforts.
Recruiting in a Tight Market
As a recruiter or employer, you know how much the economy affects your recruitment and retention efforts. You aren't just in competition with companies in your industry, but you are also fighting against inflation, recession, unemployment rates, and so much more.
How to Build a Candidate Persona
A candidate persona is a semi-fictional representation of your ideal candidate. Building a candidate persona is one of the best methods employers use to ensure their sourcing, recruiting, and hiring processes are focused. Knowing exactly what you're looking for streamlines everything and helps increase hiring confidence. So here's how to create a candidate persona and how to use it.
How to Get Into The Trades: Step-by-Step Guide
Getting a trade job can be a great career move if you like variety and prefer to learn on the job instead of in an academic setting. A trade job can offer security and be a lucrative career path as the demand for skilled trade workers continues to grow.
How do Good Interviewers Prepare for Interviews?
Just like candidates take the time to research you and your company, you should take the time to prepare for the interview. Preparing for the interview doesn't just reflect well on your employer brand and create a better candidate experience. Preparation also helps prevent bad hiring decisions. Bad hiring decisions are usually a result of poor execution during the hiring process. However, going into an interview fully prepared and ready to evaluate candidates will help avoid bad hires. So, here are 6 interview preparation tips for employers.