Broker Dealer Compliance Officer Jobs in Georgia

... law enforcement officials, financial institution compliance officers, and more. As an ... laundering and sanctions detection and compliance programs for clients around the ... and delivering training modules Conducting..

OUR VISION: THE WORLD. SUBSCRIBED. Customers have changed. They’re looking for new ways to engage with businesses. Consumers today have a new set of expectations. They want outcomes, not ownership. Customization, ..

Senior Compliance Officer- Surveillance and Monitoring The candidate ... Lead or assist in leading compliance initiatives necessary in implementing changes. ... and provide guidance on complex compliance actual and emerging..

... oversee monitoring of complex ERISA, broker-dealer, and investment advisory business activities, ... current LFN investment advisory and broker-dealer functions to analyze the ERISA ... of the team and Chief..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..