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Reporting to the Director of Resources and Operations, with work lead from the Director of School of Management (SOM), in the Lucas College and Graduate School of Business, the School of Management Admin Analyst independently provides a broad range of administrative, technical and analytical duties
Operate or oversee examinations based on the surveillance or assessment of investment companies, investments advisers, broker dealer, SROs, clearing agencies, municipal advisors, and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and