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Director, Compliance Program Office The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office ..
Compliance Specialist Duties: Participates in the administration and oversight of compliance programs for all jurisdictions and product lines written by CopperPoint. Works with the CCO, VP Compliance, and Compliance Oversight Committee ..
Compliance Officer - Securities Industry The candidate will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange-traded funds (Trusts). Will assist ..