Compliance officer
Mounds ViewNovon Consulting
...is a FINRA registered broker/dealer, an SEC-registered investment advisory firm. Specific responsibilities for Compliance Officer include but are not limited to: •Advertising review •Correspondence Review •RR/IAR Branch Audits •Assist in Policy & Procedures creation and review •Author procedures, Compliance Alerts, [...]
Job Type: Full-time
Category Banking, Insurance, Finance & Accountancy