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regulatory and payments or brokerdealer experience is a plus.... Should have excellent analytical, writing and communication skills and the energy, drive and desire to work in a busy national... read more
and operations of a brokerdealer futures commission merchant... and swap dealer Planning or advising... both the business and regulatory compliance officers on implementation or remediation strategies for the... read more
oversight of the Firm’s broker-dealer and investment advisory Distribution... they pertain to the broker dealer and investment advisor... industries. Act as SME and point person for IRS Code, ERISA, and DOL related questions. Interface with cross-functional team developing new IRA...
regulatory testing in AML, broker dealer policies and procedures,... of registration requirements for broker/dealers, RIAs and CFTC registrants.... Communicating with clients on the review process, conclusions and potential improvements to the process. Conducting complete documentation and client report review. Providing...
The candidate will be responsible for advising the company in multiple aspects of the business and will be involved in a variety of legal areas and projects. Emphasis will be on employment matters, real estate, customer contracts and...
Investment Management Attorney
The candidate must have... CPOs, registered investment advisors, broker dealers and other trading... industry participants in the areas of fund formation, commodities, proprietary trading and alternative investments. Should have solid Am Law 100 law firm training. Excellent...