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Regulatory Broker Dealer Securities Attorney Jobs

Job info
Company
In-House
Experience
Min 8 yrs required
Location
Redwood City, CA
Posted Date
Oct 11, 17
Info Source
Employer
Broker-Dealer Attorney Responsibilities: Creatively configure... trends impacting principally the broker-dealer and, to a lesser... respect to legal and regulatory aspects of compliance matters... broker-dealer. identify potential legal and regulatory issues (3) Crafting compliant... SEC, FINRA and other regulatory authorities. Interfacing with and...... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Oct 11, 17
Info Source
Employer
Assist Compliance in all regulatory matters, including all SEC... a registered limited purpose broker-dealer and a commodity pool... alternative investments and brokerage regulatory matters required. Experience with... required. Familiarity with the Securities Exchange Act of 1934,... the Investment Advisers Act... read more
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
Broker-Dealer Legal Counsel The candidate... on all aspects of Broker-Dealer governance, including U.S. Market... commission unbundling, and related regulatory requirements. Represent compliance for... 7-10+ years’ experience required. Securities Licenses preferred - Series... trading; of the U.S. regulatory environment for broker-dealers including... - SEC, NYSE,...... read more
Company
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Oct 11, 17
Info Source
Employer
Broker Dealer Chief Compliance Of... oversight and management of broker-dealer/related compliance programs, specifically: Partnering... with respect to all regulatory developments, requirements and proposals.... in place to meet regulatory requirements and providing advice... with regulators and manage regulatory examinations. Must have 10-15... Securities... read more
Company
In-House
Experience
Min 10 yrs required
Location
Fairfield, IA
Posted Date
Oct 17, 17
Info Source
Employer
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
3-5 yrs required
Location
San Diego, CA
Posted Date
Oct 14, 17
Info Source
Employer
analysis of compliance and regulatory issues affecting the company... retirement business of a broker-dealer, investment advisor and custodian,... Focused experience as an attorney working with ERISA and... Act of 1940, the Securities Exchange Act of 1934,... of self-regulatory organizations, state securities laws, and basic corporate...... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
Moorestown, NJ
Posted Date
Oct 14, 17
Info Source
Recruiter
Securities Attorney The candidate should... have 3+ years of experience representing Registered Investment Advisors in registration and ongoing regulatory compliance. Experience with ERISA,... as applied to RIA’s, Broker-Dealers, private funds and hedge... funds preferred.... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
Lawrenceville, NJ
Posted Date
Oct 14, 17
Info Source
Recruiter
Securities Attorney The candidate should... have 3+ years of experience representing Registered Investment Advisors in registration and ongoing regulatory compliance. Experience with ERISA,... as applied to RIA’s, Broker-Dealers, private funds and hedge... funds preferred.... read more
Company
In-House
Experience
1-5 yrs required
Location
Duluth, GA
Posted Date
Oct 13, 17
Info Source
Employer
The candidate will investigate broker-dealer or general litigation filed... securities with consumers. Respond to regulatory inquiries, particularly from securities... regulatory bodies, regarding complaints and/or... 1-5 years of relevant broker-dealer or securities regulatory experience.... Series 6 and... advantageous. Basic knowledge of broker-dealer industry rules and regulation...... read more
Company
In-House
Experience
Min 10 yrs required
Location
Phoenix, AZ
Posted Date
Oct 12, 17
Info Source
Employer
Associate General Counsel, Senior Regulatory Attorney The candidate will... broker-dealer and investment adviser regulatory and business legal advice.... provide legal support on regulatory examinations. Draft and review... responses to regulatory examinations. Advice on securities... programs and services. Provide regulatory advice with respect to... regulatory... read more
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