Senior Regulatory Compliance Consultant – Broker-Dealer
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Finance & Banking
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Business
Job Description & How to Apply Below
ACA Group seeks a Principal Consultant to act as a trusted advisor to broker-dealer clients, delivering regulatory compliance and consulting services to navigate regulatory requirements, mitigate risk, and maintain effective programs.
You will provide ongoing or project-based consulting, customize policies, perform on-site examinations, and assist with FINRA applications and business development. This role may involve CCO duties and heavy CRM usage, within a dynamic, client-focused firm.
The following position is for a Senior Regulatory Compliance Consultant – Broker-Dealer with ACA Group.
We are looking to fill the Senior Regulatory Compliance Consultant – Broker-Dealer position at ACA Group in Chattanooga, TN, United States.
The Senior Regulatory Compliance Consultant – Broker-Dealer role at ACA Group is now open for applications in Chattanooga, TN, United States.
Join us at ACA Group as our next Senior Regulatory Compliance Consultant – Broker-Dealer in Chattanooga, TN, United States.
Position Requirements
10+ Years work experience(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
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