Occupation:Compliance Officer |
Location:Stony Brook, NY |
Education Level:Bachelor |
Will Relocate:YES |
Description
An accomplished and skilled Securities Professional, focusing on Regulatory Compliance, Operations, Management and supervision. A thorough, resourceful and responsible self-starter with excellent problem solving, communication and investigative abilities. My strengths include supervision, risk analysis, and extensive knowledge of State, SEC and FINRA regulatory rules, regulations and filings, as well as BSA and U.S Patriot Act Requirements.
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