THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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... Management Service Companies, Banking Companies, Broker-Dealers, Distribution Companies, Insurance Companies and ... Role Overview The Director of Compliance Services is responsible for ensuring ... services adhere to the complex..
Marketing Compliance Analyst The Yoh Company in ... experience with an investment adviser, broker-dealer and/or compliance consultant, preferably to include experience ... NFA advertising and sales literature compliance; Knowledge about..
Compliance Operations Intern (part-time position) in ... during a spring internship? Our Compliance department is looking for a ... projects, audits, and processes. The Compliance department is responsible for interpreting..
... Chief Legal Officer, the Chief Compliance Officer (CCO) will be the ... face and leader of Company’s Compliance Program and Company compliance culture. The CCO will build, ... and..
Qualificationsu2022tUndergraduate degree and minimum of 2 u2013 5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, preferably to include experience with marketing reviews;nu2022tKnowledge of rules and regulations applicable ..