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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.

Don't Be Fooled

The fraudster will send a check to the victim who has accepted a job. The check can be for multiple reasons such as signing bonus, supplies, etc. The victim will be instructed to deposit the check and use the money for any of these reasons and then instructed to send the remaining funds to the fraudster. The check will bounce and the victim is left responsible.