and card program agreements, technology and partnership contracts, and... vendor service agreements. Provide legal support for RFP responses and pre-litigation commercial disputes. - Innovate and Advise on Products: Serve as the lead legal partner for the entire product lifecycl...
Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and other information. - Keep abreast of regulatory... developments that impact regulated e...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
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...
Title: Tax Manager - Partnerships Job Responsibilities: - Facilitate primary reviews of complex tax returns and provide tax consulting services for partnership clients. - Evaluate the tax aspects of partnership agreements and manage the client's Internal Revenue Code (IRC) 704b accounts. - Manage multiple...