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Associate General Counsel, Broker-Dealer/Investment Advisor Group The... candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering...
Office of Liaison and Counsel (OLC) and Government Relations... to maintain strong relationships with external regulators, including the SEC and other Federal and State Regulators. The VP will also serve as the primary liaison and representative for Member Supervision executive...
Job Title: Assistant General Counsel, Regulatory Experience: 6-8 years... Type: Full-time Overview: FINRA, the Financial Industry Regulatory Authority, is seeking an experienced Assistant General Counsel to provide legal advice... and support for the adoption of new regulatory initiative...
Job Title: Associate General Counsel, Regulatory - Full Time... as an Associate General Counsel, Regulatory H2 Heading:... Expert Legal Counsel Opportunity in the Securities... Department: Office of General Counsel Job Requisition ID:... R-008412 Location: Hybrid work environment...
(JRI) Job Title: General Counsel Experience: 10+ years of... - Provide daily legal counsel to the Board of... Trustees, Executive Officers, management and financial... teams - Ensure compliance with all relevant laws and regulations, and advise on policy changes as...