In House Counsel Jobs | JDHuntr 43236 Division Compliance Officer, 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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