Job Description
In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, New York, NY
To apply go to JDHuntr.com
Develop, implement, and maintain broker -dealer and alternative trading systems compliance program, including policies, procedures, systems monitoring, technology and training. Work closely with companys legal and business teams. Provide appropriate support, advice and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, information barriers, licensing requirements, supervision, and other compliance-related issues.
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Employment Type: Full-Time
Job Tags
Full time,
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