Job Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist... in mock regulatory examinations and compliance program... reviews, which includes... complexity and coordinate and consolidate the work of colleagues during these reviews. - Provide regulatory consulting services to clients,... such as cr...
BDC (Business Development Company) Compliance Officer Job Responsibilities: -... 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 team members. -...
on general corporate, litigation, regulatory, and compliance matters. - Lead... and mentor legal team members across various functional areas, including transactions, financing, disputes and claims, employment, insurance, and records management. - Partner with the Chief Legal Officer (CLO) and executive leadership to...
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: Staff Counsel Job Responsibilities: - Independently manage all phases of litigation involving claims of moderate to heavy value. - Conduct comprehensive legal research and draft precise pleadings, motions, and other legal documents. - Lead settlement negotiations and participate in...