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In House Counsel Jobs | JDHuntr 36274 Chief Compliance Officer, Compliance/Regulatory, Chicago, IL |
| by In House Counsel Jobs JDHuntr - 07/13/2020 |
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| "*Develop, maintain and execute an effective compliance program designed to ensure the firm’s supervision and controls meet regulatory requirements and industry best practices. *Proactively audit and surveille the firm’s systems and activities" |
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In House Counsel Jobs | JDHuntr 36274 Chief Compliance Officer, Compliance/Regulatory, Chicago, IL
To apply go to JDHuntr.com
*Develop, maintain and execute an effective compliance program designed to ensure the firm’s supervision and controls meet regulatory requirements and industry best practices. *Proactively audit and surveille the firm’s systems and activities to detect and resolve potential compliance issues. *Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance.
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