Compliance Examiner

NASD is the leading private-sector provider of financial regulatory services, dedicated to bringing integrity to the markets and confidence to investors through effective and efficient regulation and complementary compliance and technology-based services. NASD touches virtually every aspect of the securities business - from registering and educating all industry participants, to examining securities firms, enforcing both NASD rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms.

NASD is currently seeking talented individuals for COMPLIANCE EXAMINERS in our New Orleans LA. office. The major purpose of this position is to conduct on-site examinations and reviews of member firms? compliance programs and systems; analyze sales practices; assess member firms? financial and operational conditions; prepare reports; and investigate investor complaints. Work is normally performed in an office environment. Travel is required; extended hours are frequently required.

Qualified candidates will have a Bachelor?s degree in Finance, Accounting, Business Administration or a related discipline; a minimum of three accounting courses is required; and a minimum of one year directly related experience in a regulatory, compliance or investigative role. Excellent interpersonal, written and verbal communication skills, and computer proficiency are essential. Experience in the securities industry is preferred. Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills.

In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, NASD offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with NASD. EOE/AA. M/F/D/V

For immediate consideration please apply directly to the opportunities section @:

http://www.nasd.futurestep.com

Investor protection. Market integrity.