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Sr Compliance Analyst
Job Description Ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. Effective and timely processing of complaints and advisor errors, as necessary in order to mitigate regulatory risk to the firm Responsibilities ??? End-to-end processing of customer complaints and investigations. This also includes contacting field members and clients as necessary. ??? Work in partnership with offshore complaint team on partnered cases, which includes executing key steps in the process, reviewing correspondence, and evaluation of recommended actions in order to drive the case to conclusion. ??? Ensure that customer complaints and investigations cases are processed effi


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