Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Manage primary and excess claims for various policy forms, particularly focusing on Employment Practices and Third-Party Liability claims. - Develop expertise in Fiduciary Claims. - Handle and manage complex Employment Practices Liability Claims to determine...
Department, which oversees two Broker-Dealers and a Registered Investment... Adviser. The primary responsibilities include the interpretation and application of securities laws and regulations to provide guidance across various business units. The attorney will work directly with registered representatives and regulat...
Compliance Department, which serves two Broker-Dealers and a Registered Investment... Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide guidance to business units across broker-dealers and registered investment advisers. -... Working directly with registered representa...
Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel is responsible for providing securities-focused legal counsel to support the registered investment adviser (RIA) and related financial services entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements,...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...