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AVP Regulatory Reporting Compliance
Morristown, NJ

Job Description:

Responsible for all regulatory reporting requirements of the US broker-dealer related to SEA rule 15c3-3. Lead the efforts of the group to ensure regulatory compliance with all applicable US regulatory agencies and exchanges dealing with the customer reserve formula. Liaise daily with all levels of operations, regulatory agencies and both internal and external auditors.

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AVP Regulatory Reporting Compliance


Morristown, NJ

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