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compliance with applicable federal securities laws. Assists in reviewing,... as to the federal securities laws, relevant rules and... regulations. Presents information and provides expert advice to mutual fund boards both in-person and via telephone as requested. Prepares and/or participates in...
Associate Counsel, Litigation
The candidate will... and serve as trial counsel in FINRA arbitration cases... assist and support Outside Counsel and other TDA counsel... Knowledge of general securities, corporate and commercial law, and... Experience defending claims involving securities laws and brokerage firms......
Division Director, Corporate Responsibility Officer
The candidate... serves as the executive oversight for all aspects of the entity CRP and provides expertise and guidance on matters involving legal and regulatory compliance. Administers, updates, monitors and oversees CHI’s comprehensive, uniform CRP...