Title: Senior Securities Counsel Job Responsibilities: - Draft, review, and negotiate contracts related to the company's ETF and mutual fund distribution business. - Research and provide legal advice to the company's business regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project...
Tax Manager - Partnership Consulting and Modeling The candidate will interact directly with Partners on matters related to client and engagement management. Model financial transactions to be used in valuation, structuring and negotiation. Prepare detailed memoranda and presentations describing the...
Tax Senior Manager - Partnership Consulting and Modeling The candidate will develop and implement transaction advisory services to the clients to meet their complex financial needs. Interact directly with Partners on matters related to client and engagement management. Model financial...