Regulatory Compliance Advisor
Partnership Employment
Partnership Employment is seeking a regulatory compliance professional in New York to advise clients on compliance matters, oversee personal trading oversight, and monitor firm trading activity. The role involves preparing and filing required regulatory documents such as Form ADV and Form 13s, and managing client registrations with the SEC, CFTC, and other regulators. You will also assist with regulator examinations, ensure proper investigation of violations, and provide training on compliance #J-18808-Ljbffr Partnership Employment
Vacancy posted 5 days ago
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