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AVP, Senior Compliance Officer ? Broker-Dealer Division of Asset Management FirmCompliance Search Group - ConnecticutAssist the Chief Compliance Officer in Administering broker dealers compliance program; 2 ... Conduct broker dealer supervisory control reviews; occasional travel required 12...30+ days ago from Compliance Search Group - Save - Block - Flag - More Tools...
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Chief Compliance Officer, Woodbury Financial ServicesHartford Financial Services Group - Oakdale, MNChief Compliance Officer, Broker-Dealer Services Woodbury Financial ... Relocation is also available as appropriate. About Woodbury Financial Services WFS is a...30+ days ago from The Hartford Financial Services Group, Inc. - Save - Block - Flag - More Tools...
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Vice PresidentAXA Equitable - New York, NYJob Description:Perform the duties of the Chief Financial Officer for the broker-dealer ... With respect to the management of a broker-dealer, the NASD requires that the Series 27...17 days ago from AXA Equitable - Save - Block - Flag - More Tools...
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Compliance Officer Foreign Bank$100kRobert Half Finance & Accounting - New York, NYUnder the supervision of the chief Regional Compliance Officer (CRCO), the Compliance ... Assist Chief Compliance Officer for the Broker-Dealer in the maintenance of...24 days ago from Jobs About Town - Save - Block - Flag - More Tools...
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- Job Summary | Also found at: Robert Half Finance & Accounting The Wall Street Journal
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