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Cftc Attorney Jobs

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Job info
Company
In-House
Experience
Min 10 yrs required
Location
San Francisco, CA
Posted Date
Jun 25, 19
Info Source
Employer
Total Views
30
Must have experience working with financial and securities regulatory agencies (SEC, FINRA, CFTC). Should have experience managing... complex projects while demonstrating exceptional business judgement and building relationships with executive teams. Experience in enterprise software, SaaS, financial services, and/or fintech preferred.... read more
Company
In-House, Jefferies LLC
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Jun 25, 19
Info Source
Employer
Total Views
4
Part 2A, Form PF and related filings. Analysis, preparation and filing of various NFA and CFTC filings. Monitoring of Code... of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviews.... read more
Company
In-House
Experience
Min 10 yrs required
Location
Chicago, IL
Posted Date
Jun 24, 19
Info Source
Employer
Total Views
124
Officer The candidate work regularly with the CCO-Fixed Income, CCO-Central Compliance, and other divisional CCOs and legal staff in developing and implementing policies and procedures for registered investment adviser, with a specific emphasis on the Investment Advisers Act of 1940... read more
Company
In-House, Two Sigma Investments, LLC
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Jun 22, 19
Info Source
Employer
Total Views
84
laws as well as CFTC, ERISA and other rules... and regulations. Developing strategic plans (e.g., automation, staffing, law firm plans, gap analysis, etc.) for legal and compliance support of private investments business, and forming, managing and maintaining outside counsel relationships... read more
Company
In-House
Experience
Min 11 yrs required
Location
Jersey City, NJ
Posted Date
Jun 26, 19
Info Source
Employer
Total Views
30
bodies (e.g. FINRA, SEC, CFTC); and keeping abreast of... regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Must have Bachelor’s degree. Should have 11+ years experience in compliance, legal or other... read more
Company
Government
Experience
Min 1 yrs required
Location
Washington, DC
Posted Date
Jun 17, 19
Info Source
Employer
Total Views
10
Attorney-Advisor (International) - CT 11... The candidate as an Attorney Advisor (International) in the... Office of International Affairs (OIA), principal duties include (i) monitoring regulatory developments and produce and maintain summaries of the same; (ii) reviewing and commenting on documents... read more
Company
Government
Experience
Min 1 yrs required
Location
Washington, DC
Posted Date
Jun 17, 19
Info Source
Employer
Total Views
1
Supervisory Attorney-Advisor (Deputy Director) The candidate... as the Deputy Director of the Chief Counsel Unit, will lead all legal and policy issues on matters under the Division’s jurisdiction, including cross-border matters. In this role you will lead, manage, and provide... read more
Company
In-House, THE BANK OF NEW YORK MELLON CO...
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Jun 21, 19
Info Source
Employer
Total Views
24
with respect to Dodd-Frank, CFTC and SEC regulations applicable... to derivatives and FX products. Will assist the FX and Derivatives business in providing legal and regulatory advice, and work on global projects to support the swap dealer activities. Work closely... read more
Company
In-House, Neuberger Berman, LLC
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jun 24, 19
Info Source
Employer
Total Views
44
changes and policy implementations relating to such changes. Must have demonstrated analytical ability, strong written and oral communication skills. Experience interfacing with regulators, such as the SEC, a plus. Knowledge of CFTC, ERISA and NFA rules... and regulations a plus.... read more
Company
Recruiter
Experience
Min 2 yrs required
Location
Boston, MA
Posted Date
Jun 12, 19
Info Source
Recruiter
Total Views
3
background in industry regulatory matters, including Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, CFTC Rules and Regulations, and... ERISA. A combination of in-house and law firm experience preferred.... read more
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