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Chief ComplianceOfficer Counsel
The candidate serve as the Chief ComplianceOfficer and Counsel for real estate investment advisory firm registered with the United States Securities and Exchange Commission dedicated to investing private equity funds in real estate and real est...
Chief ComplianceOfficer Duties: Oversee the broker dealer, RIA and Insurance agency Compliance Oversee and lead the Compliance department for the firm. Will lead all Compliance issues along with regulatory interaction and audit functions. Will be responsible for developing, i...
Deputy ComplianceOfficer The candidate provides guidance to and collaborates with Compliance stakeholders. Serves as a expert and resource with respect to Compliance related matters in behavioral health. Assists the CCO in ensuring that appropriate policies, procedures, and pro...
Jan 30,2016
USA-NY-New York City
Global Chief Compliance Officer- Broker Dealer
Global Chief Compliance Officer- Broker Dealer
The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide advisory assistance to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/
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