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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 independent...
friendly job title: Legal Secretary – Support Services Workgroup H1: Join the Legal Team at LAFLA and Make a Difference in Your Community H2: Legal Secretary Position Available at LAFLA Bold Headline: Increase Access to Justice and...
Assistant General Counsel, Regulatory Salary Range: $127,300 - $296,100 Experience: 6-8 years of directly related legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Department: Office of General...
Analyst, Public Offerings The candidate analyzes complex and high-profile public offering transactions. Reviews and investigates proposed public offering underwriting arrangements to ensure compliance with the organization and SEC rules as well as... other securities laws. Ensures underwriting compensation is adequately...
Investigator, NCP - IRG The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify...
conduct? Then join us at the Public Company Accounting Oversight Board (PCAOB) as a legal intern for Fall 2024. As a nonprofit organization established by Congress, the PCAOB oversees the audits of public companies and SEC-registered brokers and dealers t......
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...