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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 ..
Senior Manager Compliance Programs, Corporate Functions Duties: The ... team that maintains and enhances compliance program components, including, but not ... but not limited to assessing regulatory changes, evaluating risk..
Senior Manager Compliance Programs Duties: Manage a team ... team that maintains and enhances compliance program components. Provide support, coaching, ... administering annual performance evaluations. Research regulatory compliance requirements and..