Wealth Management Compliance Officer

For this group, they're going to be doing 180,000 reviews, will be broken up on a weekly/monthly basis, will be provided on an excel/spreadsheet format, which account/which customer, they'll compare what event occurred, they're going to look at the account, make judgement calls, can sign off on the review or escalate to mutual funds team. NEED BCO (Branch Compliance Officer) NEED CSC OR IFIC NEED MUTUAL FUNDS EXPERIENCE OR EXPERIENCE WORKING ON PROJECTS REGULATED BY MFDA Job Purpose: Contribute…

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