Head of Compliance & Regulatory Strategy
Leeds Professional Resources
Leeds Professional Resources is seeking a Head of Compliance with Broker/Dealer experience to join our client’s team in Florida. This role oversees the firm’s entire compliance program, ensuring adherence to federal and state regulations and internal policies. You will manage regulatory filings, develop policies, monitor trading activities, and conduct risk assessments, while guiding management on regulatory matters and maintaining effective relationships with agencies such as the SEC and FINRA. #J-18808-Ljbffr Leeds Professional Resources
Vacancy posted 1 day ago
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