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Broker Dealer Attorney Jobs in Newark

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Job info
Company
In-House, Prudential Financial, Inc
Experience
Min 6 yrs required
Location
Newark, NJ
Posted Date
Jun 28, 18
Info Source
Employer
Total Views
30
legal advice regarding retail broker-dealer sales force compensation issues.... Advise on the application of the DOL Fiduciary Rule (or much lesser extent similar SEC or state law standards) to domestic business operations. Collaborate with Compliance partners on general account 'Harris... read more
Company
In-House
Experience
Min 10 yrs required
Location
Jersey City, NJ
Posted Date
Jul 04, 18
Info Source
Employer
Total Views
15
Managing Counsel-PAS- Broker Dealer The candidate will... support broker dealer business that provides... matters assigned by supervising attorney. Partner with the Compliance... associates to provide holistic and comprehensive advice. Provide leadership and direction to business colleagues on regulatory compliance and... read more
Company
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
97
Support the firm’s affiliated broker-dealer in connection with negotiating... and reviewing selling and other agreements with financial intermediaries and on matters relating to fund marketing. Frequently interact with numerous stakeholders, including investments, compliance, fund administration, the insurance product group, marketing... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 05, 18
Info Source
Recruiter
Total Views
2
Broker Dealer Attorney The candidate... must have excellent academic credentials.... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
Jersey City, NJ
Posted Date
Mar 19, 18
Info Source
Recruiter
Total Views
14
AML experience with a broker dealer / financial services... / wealth management and strong experience in AML/KYC laws and regulations, trends and issues. Strong experience in AML Laws, regulations, trends, and issues is required. Must have working knowledge of LexisNexis,... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
35
matters involving Advisor Group’s broker-dealers and investment advisers. Provide... most particularly relating to broker-dealers and investment advisers. Handling... similar agencies. Familiarity with broker-dealers and registered investment advisers... and the laws and rules that applies to these entities is essential. First-chair... read more
Company
Recruiter
Experience
Min 10 yrs required
Location
Jersey City, NJ
Posted Date
Mar 16, 18
Info Source
Recruiter
Total Views
5
AML/KYC experience with a broker dealer / financial services... / wealth management and strong experience in AML/KYC laws and regulations, trends and issues. Working knowledge of LexisNexis, Factiva, World-Check, case management systems, and/ or various compliance related systems are needed.... read more
Company
In-House
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Jun 26, 18
Info Source
Employer
Total Views
19
of experience. Knowledge of broker dealer regulations, corporate law... and experience handling regulatory investigation is needed. SEC or FINRA experience, or law firm experience advising financial institutions are needed. Military education or experience may be considered in lieu of civilian... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jul 07, 18
Info Source
Employer
Total Views
85
Alternative Investment Attorney The candidate will provide... have 5+ years of experience with a Broker-dealer. Should be a strong... writer and verbal communicator, used to interacting with colleagues at all levels. Must be an expert at building networks and connections.... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jul 07, 18
Info Source
Employer
Total Views
104
Investment Advisory Attorney The candidate will be... understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers. Should be an excellent... communicator with the ability to distill complex topics into simple language.... read more
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