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Regulatory & Compliance Analyst The candidate will assist ... The candidate will assist with regulatory audits by FINRA, SEC, and ... and AML-related matters. Project manage regulatory responses, internal investigations,..
... Duties: Serves as the chief legal officer for the company. Ensures ... counsel on a variety of legal issues, serve as an effective ... the ability to make prudent..
Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..
... Commodity Futures Trading Commission (CFTC) regulatory matters for their practice in ... candidate will advise clients on compliance with the Commodity Exchange Act ... and collaborate on cross-disciplinary matters.DutiesConduct..
