Head of Regulatory Examinations & Compliance
moomoo
moomoo is seeking an experienced Compliance professional to lead regulatory examinations and investigations for a FINRA-regulated broker-dealer and clearing firm. This in-office role coordinates responses with cross-functional teams across Compliance, Operations, Technology, Risk, and Finance to ensure timely, accurate actions. The ideal candidate has extensive experience with broker-dealer clearing operations, trade surveillance, and AML controls, and holds required FINRA licenses. #J-18808-Ljbffr moomoo
Vacancy posted 3 days ago
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