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48 jobs found for

Regulatory Broker Dealer Securities Attorney Jobs

Job info
Company
In-House, Fairway America
Experience
3-5 yrs required
Location
Portland, OR
Posted Date
Nov 27, 17
Info Source
Employer
Total Views
88
including compliance with various securities laws and related regulations,... to Registered Investment Advisors, Broker Dealers, private securities offerings,... a complex set of regulatory requirements while staying on... securities issuers, investment advisors, broker dealers, and investment companies? Have... evolving legal issues and regulatory requirements?  Are you able to...... read more
Company
Law Firm
Experience
Max 3 yrs required
Location
Lawrenceville, NJ
Posted Date
Dec 15, 17
Info Source
Employer
Total Views
8
Securities Attorney The candidate should... have 0-3 years' experience to serve as regulatory and legal counsel to... our numerous Investment Adviser and Broker Dealer clients. Should have... a proven interest in the investment management industry.... read more
Company
In-House
Experience
Min 10 yrs required
Location
Chicago, IL
Posted Date
Dec 15, 17
Info Source
Employer
Total Views
54
providing legal support on securities law issues, compliance with... Treasury functions and registered Broker-Dealer. Will be responsible for... counsel for Advisors, registered Broker-Dealer, including providing strategic, regulatory... and legal advice generally,... and negotiating contracts, structuring broker-dealer-related transactions; Provide legal advice...... read more
Company
In-House
Experience
Min 5 yrs required
Location
San Jose, CA
Posted Date
Dec 14, 17
Info Source
Employer
Total Views
45
are provided with sound regulatory and legal advice in... of its business, including regulatory compliance, corporate governance, litigation... regulators. Advise on all regulatory documents filed with federal... report on legal matters, regulatory developments, and advise on... and rule changes from regulatory authorities and advise on... regulatory... read more
Company
In-House
Experience
Min 10 yrs required
Location
Fairfield, IA
Posted Date
Dec 13, 17
Info Source
Employer
Total Views
119
connection with the firm’s broker-dealer, insurance and registered investment... advisor operations and will on complex legal and regulatory matters including, regulatory inquiries... related to the firm’s broker-dealer, insurance and registered investment... related to the Company’s broker-dealer, insurance and registered investment...... read more
Company
In-House
Experience
Min 5 yrs required
Location
Collegeville, PA
Posted Date
Dec 13, 17
Info Source
Employer
Total Views
38
counsel to a fast-paced Broker-Dealer and related Global Trading... on SEC and FINRA regulatory matters and a wide... company’s U.S. broker-dealer on regulatory and compliance matters, including... firm in connection with regulatory examinations and inquiries. Provide... advising broker-dealers on contract, regulatory, and compliance issues; negotiating...... read more
Company
In-House
Experience
Min 5 yrs required
Location
Geneva, IL
Posted Date
Dec 13, 17
Info Source
Employer
Total Views
31
counsel to a fast-paced Broker-Dealer and related Global Trading... on SEC and FINRA regulatory matters and a wide... company’s U.S. broker-dealer on regulatory and compliance matters, including... firm in connection with regulatory examinations and inquiries. Provide... advising broker-dealers on contract, regulatory, and compliance issues; negotiating...... read more
Company
In-House
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Dec 12, 17
Info Source
Employer
Total Views
7
the investment advisory and broker/dealer lines of business. Will... and procedures to meet regulatory and business requirements such... management. Develop and delivering securities compliance colleague training and... as trusted advisor on securities compliance issues. Must have... years of progressively responsible securities compliance experience. Series 7...... read more
Company
In-House
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Dec 07, 17
Info Source
Employer
Total Views
6
Investment Advisory Attorney The candidate will be... for compliance with FINRA, NYSE and SEC rules is required. Proven background and understanding of the wealth management business and the associated legal and regulatory issues of dual registrants... and broker-dealers is needed.... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Dec 06, 17
Info Source
Employer
Total Views
3
candidate will provide securities, regulatory, and other legal guidance... Will provide legal and regulatory guidance to business units... exchange rules and federal securities laws, primarily with respect... Provide advice to affiliated broker-dealers. Interact with SEC staff... internal business groups and regulatory attorney is needed. Experience... securities... read more
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