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Compliance Officer II - Wealth Registered Investment Advisor

Manage Code of Ethics supervision and Access Person activities. Provide training and education to employees on compliance-related matters. This includes conducting compliance awareness programs and keeping staff informed about regulatory changes.
Date Posted: 08/1/23
Remote Work Level: 100% Remote
Location: US National
Job Type: Employee
Job Schedule: Full-Time
Career Level: Experienced
Travel Required: No
Hours per Week: 40
公司荣誉: Employer is a Forbes Global 2000 company, a ranking of the biggest, most powerful public companies in the worldEmployer named by Forbes and Statista as one of America's Best Employers for Diversity.This employer is one of the well-respected Barron's 400 stock index
Categories: Auditing,Banking,Legal
Company: Company name here
Benefits: Other benefits listed here

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