In House Counsel Jobs | JDHuntr 43236 Division Compliance Officer, Washington, DC
by In House Counsel Jobs JDHuntr - 08/02/2021
"*engage with the Wealth Management Division Supervision team(s) by serving as a subject matter expert for complex matters. *monitor, review and escalate Financial Advisors who may warrant Heightened Supervision. *help identify and/or address trends"
In House Counsel Jobs | JDHuntr 43236 Division Compliance Officer, Washington, DC
To apply go to JDHuntr.com
*engage with the Wealth Management Division Supervision team(s) by serving as a subject matter expert for complex matters. *monitor, review and escalate Financial Advisors who may warrant Heightened Supervision. *help identify and/or address trends and areas of potential concern. *review and update relevant policies to ensure they reflect current regulatory requirements.
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