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Register Investment Advisor Deputy Chief Compliance Officer
Compliance Search Group - New York, NY
RIA based in New York seeks Deputy CCO who currently serves as a compliance ... for the compliance team and act as a deputy to the Chief Compliance Officer.
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Deputy Director of Compliance -Mutual Funds
Compliance Search Group - New York, NY
asset management firm and they are seeking a Deputy Director of Compliance for their ... program. - Serve as back-up or proxy for CCO participation on various firm and Board...
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Junior Counsel - Compliance Dept of a NY RIA
Options Group - New York, NY
as interact with regulators. * Report to the CCO and Deputy GC and help implement an updated compliance program. As for career growth for a lawyer in this unit...down the road,...
from Options Group - 23 days agoclose [ x ]Tired of seeing jobs from this company or website?
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Deputy Chief Compliance Officer - Investment Advisory
Compliance Search Group - New York, NY
Registered Investment Adviser seeking a Deputy Chief Compliance Officer. The Deputy ... other material compliance matters to the CCO and Board of Directors Maintain thorough...
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Broker Dealer Compliance Consultant - new
Experis - Wilton, CT
BD. B)8 plus years experience as a, CCO or Senior Compliance Officer of a FINRA ... procedures; Writing skills. Report To: Deputy Chief Compliance Officer - US Asset...
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