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Distribution Strategy Compliance and Regulatory Oversight Group Manager ... also be responsible for meeting compliance requirements determined by the Americans ... and provide leadership of ADA compliance oversight and OCC..
Broker - Dealer Compliance, Vice President The candidate must ... 5-10 years of financial services compliance with asset management and/or broker-dealer ... 1934 required. Knowledge of the Investment Advisers Act..
Compliance Officer The candidate reporting to ... Vice President of Risk and Compliance, the Compliance Officer is responsible for managing ... is responsible for managing the Compliance function for company..