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Senior attorney Counsel - Sales... Practice Enforcement
The candidate performs a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and... read more
hearings as its staff attorney including marshaling, organizing and... presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments. Evidence increased ability to conduct settlement and... read more
assist in representing the finra in disciplinary hearings as... its staff attorney including marshaling, organizing and... presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments.... read more
- Associate Counsel
Dutied: Establishing best practices and guiding members across the team. Continually finding ways to improve our processes across the board. Building and maintaining relationships with startup founders and management teams. Helping manage portfolio company reporting and data....
Investment Advisory Attorney
The candidate will be... materials for compliance with FINRA, NYSE and SEC rules.... Should have proven background and understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers. Should...
Alternative Investment Attorney
The candidate will provide... Act of 1934 and FINRA rules. Extensive experience with... the Investment Company Act, commodity pool operators, and unregistered alternative investment funds, including funds of funds is required. Must have 5+ years of experience...
large bank/securities regulators (e.g. FRB, OCC, SEC, PRA, FINRA, CFTC) is preferred. Must... have extensive experience in Credit Risk Management, knowledge of risk and finance issues related to trading and lending activities, and familiarity with Fed, OCC and SEC regulations....
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Senior Investment Advisory/Asset Management Attorney
The candidate will support... contracts is essential. Experience in new product processes. Familiarity with regulatory processes (SEC and FINRA) is essential.
Note... : This is for run up to 5 months with possible extension....
similar role. Should have FINRA Registrations: Series 7, 66,... 8 or 9 and 10 required OR Series 7, 66 with an advanced law degree. Strong international exposure is required. Strong understanding of AML/ OFAC regulations is needed. Must have strong...
of our client seeks attorney with 3-6 years of... regulations, as well as FINRA rules; forming FINRA member... to and navigating SEC, FINRA and state regulatory examination... and/or enforcement processes; drafting written supervisory procedure manuals and anti-money laundering procedures; and...
and other government investigations, internal investigations and other white collar and regulatory enforcement matters. Experience in regulatory (e.g., the SEC, CFTC, FINRA) or criminal (e.g., DOJ,... a USAO, Office of the Attorney General of California) enforcement... organization would be helpful....
SEC Enforcement and other government investigations, internal investigations and other white collar and regulatory enforcement matters. Experience in regulatory (e.g., the SEC, CFTC, FINRA) or criminal (e.g., DOJ,... a USAO, Office of the Attorney General) enforcement organization would... be helpful....