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Compliance Officer
I am a Compliance Officer with 20+ years in the financial services industry, working with large and small firms, supervising both employee and independent advisors. I have experience with FINRA and SEC regulations related to fee-based and commission based investment activity, training, financial planning, and reporting and analysis.
Financial Examiner
About Me
Industry: |
Accounting & Finance |
|---|---|
Occupation: |
Financial Examiner |
Education level: |
Bachelor |
Will Relocate: |
Yes |
