Job Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel... is responsible for providing... securities-focused legal counsel to support the registered... investment adviser (RIA) and related... client agreements, disclosures, and regulatory documents for RIA services. -... Providing legal counsel on the Advisers Act,......
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities... include the interpretation and application of securities laws and regulations to provide guidance across various business units. The attorney will work directly with registered representatives and regulat...
Compliance Department, which serves two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities... include: - Interpreting new and existing securities laws and regulations to provide guidance to business units across broker-dealers and registered investment advisers. - Working directly with... registered representa...