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Investment compliance officer full-time jobs in Claremont (3 jobs)

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Compliance Officer Team Lead

  • Executive Placements
  • Claremont
Description: Position: Compliance Officer Team Leader Location: Claremont, ... the Role We are seeking a Compliance Officer Team Leader with a strong ... refine the company’s compliance offerings. Key Responsibilities Compliance Oversight & Regulatory Management ...
2 days ago

Entry-level Compliance Officer

  • Executive Placements
  • Claremont
... ? Assist in the implementation of compliance programs and initiatives within the ... of legal and compliance procedures. ? Maintain legal and compliance documentation and records ... a keen interest in legal and compliance fields. ? Strong proficiency in Microsoft ...
2 days ago

A Paraplanner

  • Job Placements
  • Claremont
... Advisor Identify areas for planning (Investment & Risk) Research both independently ... forms Verify all compliance paperwork Alter clients' investments as instructed Implement ... review meetings with client Assess investment portfolio, asset allocation, risk ...
25 days ago
A Paraplanner Compliance Officer Team Lead

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