Job 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...
Job 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...
Job 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...
Job Title: Tax Senior Associate Job Responsibilities: -... Serve as a trusted member of the engagement team by providing various federal tax compliance and consulting services to industry-specific clients. - Offer tax compliance and advisory services to S-corporations, partnerships, individuals, and corporations, ranging...
Job Title: Tax Manager Job Responsibilities: - Serve... as a valued advisor delivering tax and business advisory services and tax compliance to small business clients. - Work side-by-side with firm leadership to serve clients and build the business, directly impacting the company’s success. -...