Objectives The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized... compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function...
. Job Description: This non-officer Compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus.... This role is part of Shared Services Compliance which provides advisory coverage to the Firm's Infrastructure divisions...