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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
federal securities laws and FINRA rules. Support and develop... key relationships with Vanguard’s global product teams and sales and marketing businesses. Provide legal advice regarding the distribution of mutual funds and ETFs globally. Provide thought leadership on industry distribution practices...
Chief Counsel Retirement Plan Services
The candidate will be providing strategic advice and counsel to Retirement Plan Services senior executives on the business and legal ramifications of significant strategic objectives. Will be advising the SVP, Chief Counsel, Product and senior...
investigators and with other FINRA departments, including Member Regulation,... and business partners throughout **MEMBERS ONLY**SIGN UP NOW***. Provide guidance to attorneys... regarding proposed Enforcement outcomes and other regulatory responses to achieve consistent decision-making based on risk. Work with Chief Counsel to achieve foreseeable...