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Job description
Leeds Professional Resources seeks a Head of Compliance with Broker/Dealer experience to oversee the firm’s entire compliance program, ensuring adherence to federal and state regulations and internal policies.
Responsibilities include regulatory filings, policy development, monitoring trading activities, risk assessments, and AML program management. Strong SEC/FINRA knowledge and excellent communication are required to mentor staff and interface with regulators.
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Worksite address
miami, FL, 33222, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.