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Compliance Associate (1)

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lucasgroup.com (1)

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USA-CA-Los Angeles (1)

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Compliance Associate
USA-CA-Los Angeles - lucasgroup.com
. Compliance Associate Responsible for monitoring compliance with the firm’s Code of Ethics for personal... that the firm is in compliance with regulatory requirements. Reviews fund and client account... in the trading system Establishes and maintains compliance files and records including product/account
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Seen at lucasgroup.com 2905 days ago

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