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... dealer compliance program including assessing and updating policies and procedures, guiding training and education process and on-going regulatory interactions. Providing real ... regulatory interactions. Providing real time and on-going..
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... to the Associate General Counsel and will be responsible for providing ... be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. Will work..
Americas Compliance And Operational Risk Control Chief of ... support to the C&ORC Co-Heads and other senior C&ORC staff in ... in managing the strategic priorities and initiatives. Leading the..
... the enhancement of the CUSO Banking Regulatory Compliance Regulation W framework, ... framework, including risk assessment, policy and procedures, corporate governance, testing and monitoring, and training; Conduct compliance oversight..
