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... is looking to hire a Compliance Analyst at the Chicago or ... report to the Financial Advisor Compliance Team Lead and will assist ... of the firm’s financial advisor..
Description The Compliance Lead ensures compliance with governmental requirements and works ... include: Responsible for effectiveness of compliance program which includes metrics, reporting, ... process improvements and automation to compliance..
... for a motivated and talented compliance officer who is familiar with ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will ... be responsible for: Overseeing all..
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... for a motivated and talented compliance officer who is familiar with ... back office functions. Responsibilities: The Compliance Officer – Special Products and ... stock lending and margin. Providing..
