Job Description
In House Counsel Jobs California | JDHuntr 50611 Director, Chief Compliance Officer, Broker Dealer, Chicago, IL
To apply go to JDHuntr.com
Provide oversight of BD activities. Act as our appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams. Develop an overall compliance program for the functional areas of the BD which effectively manages and mitigates risk, establishes proper controls, supports business initiatives and protects the company from legal and regulatory risk.
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Employment Type: Full-Time
Job Tags
Full time,
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