Compliance Director, Broker-Dealer
Company Name:
Leading Provider of Financial Services to Credit Unions
Ensure collaboration between the Supervision and Monitoring functions and the Surveillance and Reporting functions of the Compliance area. Work with the team to ensure adherence to firm and branch level compliance controls.
Recommend changes to all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including Chinese WaEstimated Salary: $20 to $28 per hour based on qualifications.
Leading Provider of Financial Services to Credit Unions
Ensure collaboration between the Supervision and Monitoring functions and the Surveillance and Reporting functions of the Compliance area. Work with the team to ensure adherence to firm and branch level compliance controls.
Recommend changes to all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including Chinese WaEstimated Salary: $20 to $28 per hour based on qualifications.
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