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Jun 12, 2019 · A compliance officer is an individual who ensures that a company complies with its outside regulatory and legal requirements as well as internal policies and bylaws. Compliance officers …
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Compliance Officer job description | Workable
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Brokerage firms typically designate a Compliance Officer to be responsible for investigating customer complaints, making the appropriate response (or seeing that it is made) and keeping a record of same.
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Compliance Department Definition - Investopedia
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