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12666 Compliance Director, Broker-Dealer Company Name: In House Jobs JDHUNTR Working with the Chief Compliance Officer, lead the Compliance program for each entity to ensure compliance with applicable laws and regulations. Ensure collaboration between the Supervision and Monitoring functions and the Surveillance and Reporting functions of the Compliance area. Work with the team to ensure adherence to firm and branch level compliance controls. After registering you may be able to apply for this job directly (if still active) on ((None))'s site. Future job matches may be sent from Geebo approved job partners.
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