Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Date Last Verified
Early Dispute Resolution Attorney The candidate will independently investigate and draft responses to oral and written customer sales practice complaints. Negotiate settlement terms and conditions consistent with Firm policies. Draft necessary regulatory filings related to sales practice complaints. Draft responses to regulatory inquiries stemming from customer complaints. Support senior litigation attorneys in response to certain complaints and regulatory inquiries. Work with branch offices on non-complaint matters that need legal review and settlement. Must be licensed attorney in good standing. Should have excellent written and verbal communication skills, attention to detail, strong time management skills. General knowledge of investing/markets and the ability to research investment related allegations is required.
Job Number: 3087355
Company infoHiring Coordinator