Chief Compliance Officer, Registered Investment Advisor - Senior Compliance AdvisorPermanent contractNew York, United States
4 months ago
New York
Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securit...