JDHuntr.com<\/a><\/p>\n\n\n\n*Develop, implement, and maintain broker -dealer and alternative trading system\u2019s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company\u2019s legal and business teams. *Provide appropriate support, advice and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, information barriers, licensing requirements, supervision, and other compliance-related issues.<\/p>\n\n\n\n
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In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, NY To apply go to JDHuntr.com *Develop, implement, and maintain broker -dealer and alternative trading system\u2019s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company\u2019s legal and business teams. *Provide appropriate support, advice and training to […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[23,22,8,13,11],"tags":[],"_links":{"self":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/6787"}],"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=6787"}],"version-history":[{"count":1,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/6787\/revisions"}],"predecessor-version":[{"id":6788,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/posts\/6787\/revisions\/6788"}],"wp:attachment":[{"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/media?parent=6787"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/categories?post=6787"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/jdhuntr.com\/blog\/wp-json\/wp\/v2\/tags?post=6787"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}