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4 jobs found for

Broker Dealer Attorney Jobs in Saint Louis

Job info
Company
In-House
Experience
Min 2 yrs required
Location
Saint Louis, MO
Posted Date
Sep 23, 17
Info Source
Employer
creation, maintenance and production of books and records by broker-dealers, escheatment and the governance... and controls associated with technology related matters. Attorney will be reviewing/updating related... policies and procedures as well as other tasks including research of statutes and regulations.... read more
Company
In-House
Experience
Min 2 yrs required
Location
Saint Louis, MO
Posted Date
Sep 23, 17
Info Source
Employer
books and records by broker-dealers, and the governance and... experience as a practicing attorney. Active State Bar membership... is needed. Extensive knowledge and understanding of research, counsel, and guidance on complex legal questions or inquiries are advantageous. Excellent verbal, written,... read more
Company
In-House
Experience
Min 7 yrs required
Location
Maryville, IL
Posted Date
Sep 12, 17
Info Source
Employer
products and services of broker-dealer and registered investment adviser.... insurance), Investment Management Inc. (broker-dealer), Asset Management (registered investment... regulatory counsel on insurance, broker-dealer and investment advisor related... matters including supervision, compliance policies and procedures, financial reporting, compensation, sales and marketing... read more
Company
In-House
Experience
Min 7 yrs required
Location
Alton, IL
Posted Date
Sep 12, 17
Info Source
Employer
products and services of broker-dealer and registered investment adviser.... insurance), Investment Management Inc. (broker-dealer), Asset Management (registered investment... regulatory counsel on insurance, broker-dealer and investment advisor related... matters including supervision, compliance policies and procedures, financial reporting, compensation, sales and marketing... read more
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