In House Counsel Jobs | JDHuntr 42338 Officer Compliance, Capital Markets, TX

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*responsible for assisting Senior Management in establishing, maintaining and enforcing a supervisory system to reasonably supervise activities of business divisions and support departments in order to ensure company compliance with federal and state securities laws and regulatory mandates of FINRA, SEC, MSRB, and company policies and procedures. *primarily responsible for performing various compliance functions for Capital Markets (both equity and fixed income) to ensure compliance with rules, regulations, and procedures established by the company and/or regulatory agencies.

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