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In House Counsel Jobs California | JDHuntr 65010 Head of Compliance $200K – $225K, NY
Apply on JDHuntr.com Post Date: 1.14.2024
*Ensuring the ongoing adoption, implementation, and management of policies, procedures, and controls to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act, and other applicable requirements, including those administered by the SEC, FINRA, CFTC, and the NFA. *Experience with the regulatory compliance obligations of a Registered Investment Adviser (RIA) and Commodity Pool Operator (CPO). *Advising on AML/KYC requirements within the United States and internationally
“A company or JDHuntr may amend or withdraw jobs and reserves the right to do so at any time, including prior to any advertised closing date.”
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