Strategic Regulatory Compliance Specialist
Partnership Employment
Partnership Employment in Los Angeles is seeking a regulatory compliance professional to provide ongoing support to clients, supervising personal securities activity, surveillance programs, and trading oversight. You will coordinate filings such as Form ADV and related disclosures, manage registrations with the SEC/CFTC/NFA and state regulators, and assist in regulatory reviews and examinations. The role emphasizes rigorous risk evaluation, accurate documentation, and delivering compliance #J-18808-Ljbffr Partnership Employment
Vacancy posted 1 day ago
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