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Vice President |
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Summary: Lead a small team to ensure legal and regulatory compliance. Maintain and update regulatory policy and procedure manuals. Manage, monitor, audit, and evaluate the efficiency and effectiveness of internal regulation by performing the following: Monitor trading permit holder compliance, including providing real time resolution to concerns related to specific market activity; Investigate potential or alleged rule violations; Examine and investigate trading practices and financial responsibilities of trading permit holders; Manage the investigative referral process to internal ...
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