Feb 23
7
In House Counsel Jobs California | JDHuntr 53621 Head of Legal and Compliance, NY
To apply go to JDHuntr.com
*Maintain in-depth knowledge of the Firm’s business and activities to ensure adequate legal and compliance oversight as the business needs evolve over time; advise senior management and the business units on emerging legal and compliance issues. *Collaborative work with senior management, registered representatives, and other key constituencies to train, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. *Help lead efforts related to supervisory oversight, training, e-mail surveillance, branch office exams, FINRA licensing and registrations, anti-money laundering supervision, and advertising $225,000-275,000
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