In House Counsel Jobs | JDHuntr 48067 Chief Compliance Officer, New York, NY at In House Jobs |[...]

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Chief Compliance Officer

New York, NY

Primary compliance and oversight professional to help us develop and manage the compliance function at the company, including compliance matters with respect to all FINRA and SEC regulated activities in coordination with our regulated partner firms. Coordinate review of advertising, promotional materials and other communications to ensure compliance with applicable standards. Ensure that sales and advisory representatives act in accordance with applicable laws, rules and appropriate standards of conduct.

Employment Type: Full-Time

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Vacancy posted 2 days ago

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