"Develop, implement, and maintain broker -dealer and alternative trading system’s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company’s legal and business teams. *Provide appropriate " |
In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY
To apply go to JDHuntr.com
*Develop, implement, and maintain broker -dealer and alternative trading system’s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company’s 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.
in house jobs, go in house with jdhuntr in house jobs, in house jobs California, in-house jobs CA, in house counsel jobs DC, in house counsel jobs Florida, in house counsel jobs NY, in-house legal jobs, legal jobs Los Angeles, legal jobs New York, legal jobs, law jobs, corporate counsel jobs, corporate lawyer jobs, general counsel jobs, lawyer jobs California, in-house jobs TX, in-house jobs NJ, in-house jobs IL, in-house jobs San Francisco, in-house jobs GA
|