Madison-Davis
Rate:
$80 / hour 3 days onsite Lead the development and enhancement of the Broker Dealer Services framework, including policies, procedures. Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards. Interpret evolving regulations, assess operational impact, and deliver strategic compliance solutions. Provide Compliance Advisory services to broker-dealer business lines. Complete or assist in completing broker-dealer related regulatory inquiries and / or examinations. Provide interpretive guidance on FINRA, SEC, NFA and CFTC rules and regulations as well as applicable internal policies and procedures
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$80 / hour 3 days onsite Lead the development and enhancement of the Broker Dealer Services framework, including policies, procedures. Support regulatory audits, examinations, and inquiries, ensuring preparedness and alignment with industry standards. Interpret evolving regulations, assess operational impact, and deliver strategic compliance solutions. Provide Compliance Advisory services to broker-dealer business lines. Complete or assist in completing broker-dealer related regulatory inquiries and / or examinations. Provide interpretive guidance on FINRA, SEC, NFA and CFTC rules and regulations as well as applicable internal policies and procedures
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