the company's Wealth Management's broker-dealer and investment advisory products,... services, and sales channels for retail businesses. - Advise on a wide range of projects and initiatives that will help define retail Wealth Management businesses. - Provide timely, strategic legal counsel by leveraging...
of legal matters within the Wealth Management business. This includes providing legal support to broker/dealer field personnel, which encompasses... call center staff, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office employees. Key responsibilities include: - Conductin...
Title: Regulatory Attorney Job Responsibilities: The Regulatory Attorney at the company is responsible for providing legal and regulatory support to the Wealth Management business, focusing on retail equities, options, and futures trading. Key responsibilities include: - Providing legal and regulatory advice to the...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Title: Regulatory Attorney, Vice President Job Responsibilities: - Support the Company's Wealth Management business in developing and launching new product offerings. - Advise on compliance with new and existing industry rules and regulations. - Respond to regulatory inquiries and client issues. - Draft and amend...
Management business. - Provide legal support to broker/dealer field personnel, including call... center staff, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel. - Conduct legal research and draft memos, letters to clients, and client-facing agreements such...
Title: Senior Counsel, Regulatory US Job Responsibilities: - Provide legal and regulatory support to the US business on matters impacting , with a global perspective. - Monitor, assess, and advise on legal and regulatory issues related to entity licensing, registration, product development, and...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including preparation of...
Title Global Financial Crimes: US Investigations Director (AVP) / Vice President Job Responsibilities - Lead investigations of various suspected financial crimes, including money laundering, terrorist financing, market manipulation, insider trading, trafficking, fraud, public corruption and bribery, cybercrime, and tax evasion. -...
Title: Senior Legal Counsel - Transactional Attorney Job Responsibilities: - Provide legal support to Company and in-house contract groups on various buy-side and sell-side transactional matters. - Deliver practical and reasoned business counsel, advice, and leadership on a variety of transactional...
Title: Paralegal Job Responsibilities: As a Paralegal in the Trading, Marketing, and Operations Legal Group at the company, you will provide essential legal support related to contracts for exchange-traded funds and mutual fund product platforms. Your responsibilities will include assisting in the...