The Compliance Officer’s job deals with any day-to-day compliance issues that arise during financial transactions, trading, or the handling of client accounts. This officer must ensure the firm and its employees understand and abide by internal and regulatory procedures. Compliance Officers are employed throughout the financial services industry in banks, mutual fund companies, and investment dealers. Specific duties depend on the industry sector, but this job universally rewards those with an eye for detail, a thorough understanding of industry conduct and practices, and a knack for explaining policies and procedures to other employees.
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Below are the courses and credentials required and/or recommended for this career.