Job Title: Counsel – Broker-Dealer Regulatory Job Responsibilities: - Provide legal... the Investment Company Act, Exchange Act, Investment Advisers Act, and FINRA rules. - Offer advice and counsel to the company's limited-purpose broker-dealer on compliance with FINRA... rules and other regulatory matters. - Draf...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will play a pivotal role in supporting the Wealth Management Division at the company. Reporting directly to the Senior Associate General Counsel, Head of Wealth Legal, this position involves providing comprehensive legal...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: The Chief Privacy Officer (CPO) and Senior Vice President, Associate General Counsel at the company will serve as a visible leader, providing legal and policy advice on privacy, technology development, cybersecurity, incident...
the Bank’s full-service wealth management business, which encompasses RIA, Broker Dealer, and Trust offerings... and services. - Develop and implement legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulatory issues. - Assist Compliance and Risk colleagues in responding to re...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
aspects of financial services tax engagements, including those related to hedge funds, private equity, venture capital, broker-dealers, and management companies. - Conducting... research and drafting memoranda on complex tax matters. - Identifying and implementing tax planning opportunities to optimize client tax situations....