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In-House Counsel Jobs-Jdhuntr-12666 Compliance Director, Broker-Dealer, Waverly, IA

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In-House Counsel Jobs JDHUNTR
In-House Counsel Jobs-Jdhuntr-12666 Compliance Director, Broker-Dealer, Waverly, IA
To apply click here www.jdhuntr.com
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.

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