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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,..
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... 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 ..
... to manage the firm's corporate legal affairs, including drafting and reviewing ... issues, and assisting with global compliance and risk management.DutiesAssist the Corporate ... Deputy General Counsel with global..
