NEXT Financial Group

NEXT Financial Group | Houston, TX

business of independent financial representatives to... activities and other facets of a producing financial representive. Investment product transactions... ...

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NEXT Financial Group, Inc. | Houston, TX

A. POSITION OVERVIEW Develops, manages and directs the compliance and licensing functions to meet regulatory requirements for the Company, field representatives... ...

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NEXT Financial Group, Inc. | Houston, TX

compliance and supervisory functions for associated RR/RIAs registered with NEXT. POSITION CONTENT 1. Plans, manages and directs the operation and development... ...

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NEXT Financial Group, Inc. | Houston, TX

Job Description Plans, performs and documents audits of operations at the OSJ and representatives’ office to assure compliance with relevant State and Federal... ...

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NEXT Financial Group | Houston, TX

Job Description 1) ”Strong” knowledge of SEC, FINRA and State rules, regulations and applicable laws. 2) Plans, manages and directs the operation and... ...

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NEXT Financial Group, Inc. | Houston, TX

functions for associated RR/RIAs registered with NEXT. Plan, manage and direct the operation and... Service agreements and NEXT Advisors Account forms... ...

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NEXT Financial Group, Inc. | Houston, TX

Compliance - Plans, performs and documents audits of operations at the OSJ and representatives office to assure compliance with relevant State and Federal... ...

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NEXT Financial Group, Inc. | Houston, TX

Compliance - Develops, manages and directs the compliance and licensing functions to meet regulatory requirements for the Company, field representatives and OSJ... ...

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