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SVP Deputy cco Responsibilities Lead the team responsible for regulatory exams and inquiries and other regulatory affairs as well as responsible for performing regulatory event both internal and external tracking and ..
Director The candidate will be expected to provide independent expertise and advice related to issues of compliance to a broad range of offices across campus including, but not limited to, policy ..
SVP, Deputy CCO Responsibilities: Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking and ..
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 ..
SVP, Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team ..
