Regulatory Professional Job in New York 10022, New York US

 Unique opportunity to play a meaningful role in a fast growing firm.  CounselWorks is seeking an experienced regulatory professional to service and manage client relationships. Responsibilities will include: ·         supervising compliance staff in connection with outsourced client compliance work, i.e., marketing, personal trading, execution quality, drafting of compliance procedures, codes of ethics, and regulatory filings etc.  ·         identifying areas of review and supervise staff in connection with forensic testing and mock regulatory reviews; ·         preparing Read more […]

November 20, 2009 • Tags: , • Posted in: General • Comments Off on Regulatory Professional Job in New York 10022, New York US