THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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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..
... Summary u003c/strongu003eu003cbru003e u003cbru003e The Deputy Chief Compliance Officer (DCCO)is responsible for identifying, investigating, ... for identifying, investigating, and reporting compliance risks. Assist the Chief Compliance Officer and General Counsel..
... Conducts complex assurance/effectiveness reviews evaluating compliance in accordance with appropriate regulatory ... appropriate regulatory standards, metrics, established compliance plan(s) and prescribed departmental / ... program policies. Evaluates effectiveness of..