Chief Compliance Officer
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Job Description Chief Compliance Officer \n \n A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership. \n \n
Responsibilities
\n \n Own the firm's compliance program and policies. \n Lead SEC examinations, regulatory inquiries, and annual reviews. \n Oversee regulatory filings, testing, disclosures, and compliance monitoring. \n Manage Code of Ethics, marketing compliance, conflicts, and rel…
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