Hybrid in Jersey City, New Jersey
•
26d ago
"We only Accept Local Candidate" New Jersey, New York Description: Summary: Ensures that the organization adheres to internal policies, SEC 15c3-3 regulatory requirements, and industry standards by monitoring, evaluating, and reporting on compliance-related activities. Responsibilities: Review and assess internal processes to identify potential compliance risks. Conduct audits and prepare reports to document compliance findings. Monitor regulatory changes and assist in updating policies and pro
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