Senior Compliance Specialist - Houston
3 weeks ago

Job summary
A compliance associate or manager is needed to administer the firm's compliance system and manage broker data feeds. The role involves serving as a point of contact for employee approvals and surveillance, supporting routine and ad-hoc compliance testing, reviewing marketing materials for regulatory compliance,- Assist with new-hire compliance onboarding and training.
- Support Form ADV and Form PF filings.
Job description
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