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AVP, Compliance & Market Conduct
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Full-time
- Serves as primary regulatory advisor to Chief Compliance Officer (CCO) on compliance for Sammons Financial Group Companies on regulatory, market conduct, product, project, record retention, governance and strategic initiatives.
- Provide compliance guidance on matters including, but not limited to, operational concerns, market conduct issues, regulatory review and implementation, market conduct exams (MCEs), training program/initiatives and strategic initiatives.
- Assist and provide support for MCEs, product initiatives, strategic initiatives, regulatory inquiries such as enforcement investigations, regulatory analysis and drive implementation guidance.
- Stay actively engaged with external entities and industry groups to stay apprised of proposed regulatory actions, keeping industry knowledge current but also offering keen insight as to what the Company can expect on the horizon.
- Juris Doctorate Degree preferred
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