Job Description. Job Description. Position Close Date. January 19th, 2025 at 4 : 00PM. Salary : DOE. This position is responsible for ensuring compliance throughout the enterprise with all State, Federal, Tribal and Internal regulations through review and knowledge of regulations, assistance with audits, ensuring proper training and providing timely information to enterprise employees. Essential Duties and Responsibilities. Reviews policies, proc...
Position Summary. The AVP/VP, Regulatory Compliance Officer will report to the firm’s Broker-Dealer Chief Compliance Officer and be responsible for assisting with a variety of compliance tasks including, but not limited to: (i) reviewing marketing communications and presentations. and (ii) supervising the activities of the broker-dealer, including but not limited to conducting trainings for sales staff, and assisting with branch office inspection...
