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Associate General Counsel, Broker-Dealer/Investment Advisor Group The... matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Provide high quality and timely legal and advisory support to... the organization's business units,...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The... matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Provide high quality and timely legal and advisory support to... the organization's business units,...
diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring... the aging and progress of cases to ensure th...
diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring... the aging and progress of cases to ensure th...
Sr Vice President of Corporate Financing and Advertising Regulation... is a key member of the Office of the Chief Legal Officer's (OCLO) leadership team.... - Responsible for setting the strategic direction of the Corporate Financing and Advertising Regulation... departments. -...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The... matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Provide high quality and timely legal and advisory support to... the organization's business units,...
diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring... the aging and progress of cases to ensure th...
diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring... the aging and progress of cases to ensure th...