JDHuntr.com<\/a><\/p>\n*Lead, mentor and manage the Business Conduct Department. *Design and implement company-wide compliance strategy. *Oversee Anti-Money Laundering compliance. *Oversee a team responsible for on-site examinations and regulatory branch inspections. *Manage testing and reports for annual FINRA Rule 3012 and NYSE Rule 342.30 on the firm’s supervisory process and annual SEC Rule 206(4)-7 compliance review<\/p>\n
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In House Counsel Jobs California | JDHuntr 33128 Chief Compliance Officer, Compliance\/Regulatory, CA To apply go to JDHuntr.com *Lead, mentor and manage the Business Conduct Department. *Design and implement company-wide compliance strategy. *Oversee Anti-Money Laundering compliance. *Oversee a team responsible for on-site examinations and regulatory branch inspections. *Manage testing and reports for annual FINRA Rule […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[21,23,22,8,25,13,11],"tags":[],"_links":{"self":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/3117"}],"collection":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/comments?post=3117"}],"version-history":[{"count":1,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/3117\/revisions"}],"predecessor-version":[{"id":3118,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/3117\/revisions\/3118"}],"wp:attachment":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/media?parent=3117"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/categories?post=3117"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/tags?post=3117"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}