Ria Compliance Officer Jobs in Massachusetts | ComplianceCrossing.com
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Ria Compliance Officer Jobs in Massachusetts






Job info
 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, Annuities, options and ... such as Compliance, Field Inspection, and Regional Supervisory Directors. • Specialized .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 07,2018
Info Source

... RIA accounts, Brokerage accounts. * Review trading activity of registered representatives through ... compliance procedures. * Consult with registered representatives, Agency Supervisory Officers and .....

 
Company
Commonwealth Financial
Location
Waltham, MA
Posted Date
Feb 04,2018
Info Source

Directing, supervising, managing, and being the subject-matter expert on all aspects of the compliance unit within RIA Services; acting as first-line backup to the chief compliance officer..

 
Company
First Republic
Location
Boston, MA
Posted Date
Jan 14,2018
Info Source

... RIA), Broker-Dealer and Trust or team of same and to be the first point of contact for clients or ... compliance and accuracy, establishing and maintaining file folders, maintaining document ..

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