Senior Compliance Analyst Job in New York, New York US
Job Category: New Jobs
Research and respond to Regulatory Inquiries and Requests for Information and Documentation from FINRA, SEC and other State and Federal regulatory and self-regulatory organizations.Work with Director, Regulatory Affairs to coordinate document review and production during on-site regulatory examinations.Assist with review and preparation of monthly risk analysis.Analyze rule proposals.Compile and distribute document highlighting upcoming rule prop...
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