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Compliance Associate Key Duties & Responsibilities Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest. Maintaining and updating compliance policies and procedures, ensuring they're current and effective. Assisting with SEC and NFA filings and regulatory examinations to ensure compliance with regulatory requirements. Monitoring and auditing business processes to identify potential compliance risks and take appropriate. After registering you may be able to apply for this job directly (if still active) on (Larson Maddox)'s site. Future job matches may be sent from Geebo approved job partners.
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