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High Net Worth Branch Compliance Officer
Company: Compliance Search Group
Location: Westchester New York
Category: Law Enforcement Security
Job Description:
High Net Worth Branch Compliance Officer – Investment Bank New York A branch office of a global investment bank engaged in serving high net worth clients seeks a Compliance Officer. The Branch Compliance Officer will be responsible for the following: • Responsible for assisting in branch’s overall development and implementation of Sales Practice efforts including ensuring adherence to internal policies and regulatory requirements. • Assist in the supervision of client trade activity for High Net Worth branch. • Identify and follow up on outstanding risks and (See More)
You may also want to:Location: Westchester New York
Category: Law Enforcement Security
Job Description:
High Net Worth Branch Compliance Officer – Investment Bank New York A branch office of a global investment bank engaged in serving high net worth clients seeks a Compliance Officer. The Branch Compliance Officer will be responsible for the following: • Responsible for assisting in branch’s overall development and implementation of Sales Practice efforts including ensuring adherence to internal policies and regulatory requirements. • Assist in the supervision of client trade activity for High Net Worth branch. • Identify and follow up on outstanding risks and (See More)
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