Senior Associate, Regulatory Supervision

clients Provides regulatory oversight by monitoring division CAT/CAIS filings and reports and assists with resolution... experience FINRA Series 7, 63/66, 24 requires FINRA Series 57, 9/10 preferred Knowledge of CAIS/CAT, Microcap Securities...

Lugar: Pasadena, CA | 02/10/2026 23:10:47 PM | Salario: S/. No Especificado | Empresa: Wedbush Securities