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... Industry Capital Markets Capital Markets Investment Advisers Private Placements Public Company ... Privacy Cybersecurity & Data Privacy Regulatory Compliance Education Industry Education Industry ... Banking & Financial Services Bank..
Communicate regulatory changes and trends with the ... the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC) ... of Securities Act of ‘33, Investment Advisers Act of ‘40,..
Paralegal/Regulatory Administrator The candidate will handle ... candidate will handle preparation of regulatory filings required under federal securities ... complex documents, working with GFS Regulatory Administration attorneys to plan and..
... Industry Capital Markets Capital Markets Investment Advisers Private Placements Public Company ... Government Contracts International Trade and Regulatory Compliance Cybersecurity & Data Privacy ... Privacy Cybersecurity & Data Privacy..
... Industry Capital Markets Capital Markets Investment Advisers Private Placements Public Company ... Government Contracts International Trade and Regulatory Compliance COVID-19 Business Strategies Hub ... Privacy Cybersecurity & Data Privacy..
VP Compliance Officer The candidate will be maintaining compliance policies and procedures for assigned trusts or advisers, performing annual reviews thereon, conducting risk assessments and periodic compliance testing, maintaining oversight of ..
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 ..