Senior Compliance Officer - RIA & Wealth Advisory
The HT Group
The HT Group is partnering with an independent wealth advisory firm to recruit a Compliance Officer for a Registered Investment Advisor environment. This role reports to the Chief Compliance Officer and oversees day-to-day regulatory compliance, including testing, policy administration, and vendor oversight. The successful candidate will bring deep knowledge of U.S. securities laws, a track record in RIAs, and the ability to translate complex regulations into practical guidance for teams across #J-18808-Ljbffr The HT Group
Vacancy posted 1 day ago
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