Broker-Dealer Compliance Chief | FINRA/SEC Expert
Howard-Sloan Search
Howard-Sloan Search is looking for a compliance leadership professional in New York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting, and managing Written Supervisory Procedures. The ideal candidate will have over 12 years of experience in broker-dealer environments and significant supervisory responsibilities. #J-18808-Ljbffr Howard-Sloan Search
Vacancy posted 12 hours ago
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