Cover letter for quality control position

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Cover letter for quality control position

Text of the Regulatory and Examination Priorities Letter January 4, Introduction This Regulatory and Examination Priorities Letter provides firms with information about areas FINRA plans to review inand in many instances also includes brief observations about common weaknesses we have observed while executing our regulatory programs.

Firms can use this letter to identify priorities applicable to their business and to strengthen their compliance, supervisory and risk management controls to protect investors, the markets and themselves.

FINRA develops these priorities based on observations from our regulatory programs as well as input from various stakeholders, including investor advocates, firms and other regulators. Some firms use the letter to help identify applicable priorities and then to define their training program requirements for the coming year, assess programs they may need to strengthen or update, and frame issues that they will address in their annual compliance conferences and other internal communications.

For its part, FINRA has enhanced its risk-based surveillance and examination programs to apply a nationally consistent approach to identify and focus on material conduct at firms based on our assessment of specified sales practice, financial, operational and market-integrity risks.

InFINRA will also initiate electronic, off-site reviews to supplement our traditional on-site cycle examinations. This program will enable FINRA to review selected areas, typically those covered in this letter, without going on site to the firm.

Instead, FINRA will make targeted and limited information requests to firms and then analyze responses off site. We will conduct these off-site exams only on a select group of firms that are not currently scheduled for a cycle exam in FINRA will focus on the following issues and concerns through our regulatory programs in FINRA is strengthening its already comprehensive approach to high-risk and recidivist brokers in three areas.

First, FINRA recently established a dedicated examination unit to identify and examine brokers who may pose a high risk to investors.

Cover letter for quality control position

FINRA will assess whether firms develop and implement a supervisory plan reasonably tailored to detect and prevent future misconduct by a particular broker based on prior misconduct and regulatory disclosures. We will also focus on firms with a concentration of brokers with significant past disciplinary records or a number of sales practice complaints or arbitrations.

At the same time, we will continue to scrutinize closely applications by firms to associate with statutorily disqualified persons and will oppose these plans where we conclude that they do not satisfy applicable requirements. Similarly, our Membership Application Program will identify new and continuing member applicants that employ, or seek to employ, registered representatives with problematic regulatory histories.

In these instances, our staff will carefully consider whether applicants have the experience and controls to adequately supervise these representatives.

We are seeing numerous cases where registered representatives have recommended that senior investors purchase speculative or complex products in search of yield. In andFINRA observed an increase in the use of aggressive boiler room tactics by unregistered persons in pump-and-dump schemes targeting elderly investors.

There are a number of controls firms can implement to enhance protection for elderly clients from such financial exploitation. Product Suitability and Concentration FINRA continues to observe instances where firms recommend products that are unsuitable for customers, including situations where customers and sometimes registered representatives do not understand important product features.

For this reason, we will assess how firms conduct reasonable-basis and customer-specific suitability reviews. Firms should be attentive to the adequacy of their supervision and training when new products come to market, new features of existing products are introduced or market conditions change in ways that could affect product performance.

Firms that hire registered representatives who sell products with which the firm is not familiar should educate themselves on the products and then carefully evaluate their ability to supervise recommendations.

Training should ensure that registered representatives, compliance and supervisory staff understand the objectives, risks and pricing factors of the products sold, including any changes in the features of those products. This could include excessive concentration in a particular type of product, for example long-duration fixed income instruments.

Firms should be attentive to shifts in the interest rate environment and should be prepared to assess and discuss the possible impact of these changes on recommendations to clients. Firms should also monitor for excessive concentration in securities exposed to an industry sector. The concerns we discuss above can arise with many products.Based on our collection of cover letter samples for Quality Managers, essential job requirements include: Quality manager experience Knowledge of quality control procedures.

Michael Branson 44 Brown Street E: [email protected] Welcome to eAuditNet. eAuditNet is web-based software that supports and improves efficiency in the auditing and accreditation systems of industry managed programs administered by the Performance Review Institute.

eAuditNet is developed and maintained by PRI for the benefit of industries where safety and quality are shared values, implementing a standardized approach to quality assurance.

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Cover letter for quality control position

My Perfect Cover Letter. Cover Letters. Home» How To» Wellness» Quality Assurance Cover Letter Sample. How to Get a Job That Doesn't Suck! Download Your FREE ebook. Advertisement. Job opportunities for quality control inspectors are predicted to grow at a slower rate than average through -- approximately 8 percent growth.

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