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Advise and counsel internal clients with respect to operational, compliance and legal issues, as well as contract interpretation and implementation. Advise on legal issues involving the organization's government and regulatory compliance, with focus on broker-dealer and registered investment adviser business lines. Update and implement compliance programs, training, systems for monitoring and reporting for all U.S. and European operations. Conduct compliance reviews and internal audits and ensure that resulting recommendations are implemented in a timely fashion.

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Published at 19-06-2015
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