Advertising Compliance Examiner for H. Beck, Inc.
H.Beck, Inc./Capital Financial Group - Bethesda, MD

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Investment Advisory Compliance Examiner – H. Beck, Inc./Capital Financial Group

Dear Investment Advisory Compliance Examiner,

Our company is called H.Beck, Inc. and we have grown from a small Broker-Dealer of 10 in the early 1980’s to one of the TOP 50 Independent Broker-Dealers (based on revenue) in the Nation. We have approximately 85 employees in our Bethesda, MD location and are seeking individuals with experience in the financial services industry especially in the area of compliance. You would play an active role in the development, implementation and monitoring of compliance policies and procedures.

If you have experience in the Financial Services Industry and have at least FINRA Series 7, 24, and 66 licenses (or 63 & 65), or the ability to attain a license within 6 months, then we should talk! Contact me, Sharon Scibek, VP of HR. Don’t forget your cover letter with your resume. I look forward to learning more about you and how your skills and experience match our job requirements. Here is the List of Requirements:

FINRA Series 7, 24, and 66 (or 63 & 65) registrations, or the ability to pass within 6 months
5 years previous experience in the securities industry (preferred not required)
Working knowledge of FINRA, SEC and State securities rules and regulations
Solid problem identification & resolution skills
Project Management
Technical ability
Understanding of broker-dealer and investment advisory products

Best regards,

Sharon Scibek
VP of Human Resources

Indeed - 16 months ago - save job
About this company
The Capital Financial Group (CFG) was created to serve the financial needs of individuals, estates, and businesses. The strength of CFG is...