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Partner with applicable business areas to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations, as well as internal policies and procedures. Provide compliance and legal support for specific operations and product areas of the firm to ensure we are integrated into every aspect and strategic initiative of firm business. Anticipate, Interpret and apply existing, new and proposed laws, industry rules and best practices that affect the applicable business areas.

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Published at 05-05-2015
Viewed: 607 times