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... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work independently ... more experience in financial industry..
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... the nation's best urban public research universities. Home to more than ... UC combines a Top 35 research university with a physical setting ... applications for a Director of..
Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc. Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance Perform trading ..