In House Counsel Jobs | JDHuntr 45903 Chief Compliance Officer, Los Angeles, CA
To apply go to JDHuntr.com
Advocating for a strong corporate compliance program, with a focus on compliance with all laws, regulations, and other guidance related to business and operational activities of Wealth Management including broker dealer, investment advisory, investment company, and OCC Reg 9 fiduciary matters. Oversee front line compliance risk taking activity in alignment with OCCs Heightened Standards. Collaborate with front lines to advise, oversee, and challenge compliance risk activities and provide guidance as necessary
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Employment Type: Full-Time
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