Compliance Auditor

Description : ESSENTIAL DUTIES AND RESPONSIBILITIES Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and vari...

Lugar: Little Rock, AR | 03/12/2025 23:12:32 PM | Salario: S/. No Especificado | Empresa: Stephens

Compliance Counsel, Equity Research and Sales

Description : ESSENTIAL DUTIES AND RESPONSIBILITIES Review and provide approval for Equity Research Reports dealing with "restricted" companies. Provide Guidance to Research personnel on applicable rules and regulations, as well as Fir...

Lugar: Little Rock, AR | 03/12/2025 20:12:54 PM | Salario: S/. No Especificado | Empresa: Stephens