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Regulatory Broker Dealer Securities Attorney Jobs

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Job info
Company
In-House, Cetera Financial Group, Inc
Experience
Min 5 yrs required
Location
El Segundo, CA
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
251
investment adviser and broker-dealer regulatory compliance (with preference given... and emerging legal and regulatory matters. Providing dedicated legal... a law firm, securities regulatory agency or in-house legal... to investment advisers and broker-dealers, with a preference for... experience related to the... read more
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
27
for: Providing legal and regulatory advice and counsel to... the broker-dealer supporting Prudential’s investment management,... businesses. Providing legal and regulatory advice and counsel to... broker-dealers to federal and state regulatory matters as well as... date on pertinent legal, regulatory and industry developments. Drafting...... read more
Company
In-House, Prudential Financial, Inc
Experience
12-15 yrs required
Location
Newark, NJ
Posted Date
Sep 16, 18
Info Source
Employer
Total Views
17
leaders. Providing legal and regulatory advice and counsel to... the retail broker-dealer with a concentration on... and counseling insurers and broker-dealers before Federal and State... and other personnel informed on pertinent legal and regulatory developments. Perform special projects... as assigned.... read more
Company
In-House
Experience
5-8 yrs required
Location
Houston, TX
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
104
aspects of legal and regulatory matters relating to the... handling of legal and regulatory matters relating to the... Support the firm’s affiliated broker-dealer in connection with negotiating... of 1940 and related securities and corporate laws. JD... degree with strong academic... read more
Company
In-House, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
Bellevue, WA
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
15
Tax, Complinace and company's broker/dealer as well as provide... expertise relating to regulatory issues associated with Retirement... in relevant insurance and securities law. Knowledge of other... insurance products, including fixed annuities, fixed indexed annuities and indexed universal life insurance, is... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Phoenix, AZ
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
120
Senior Counsel, Regulatory Attorney The candidate will... General Counsel and provide regulatory and business legal advice... relating to broker-dealers and investment advisers. Will... provide legal support on regulatory matters and examinations. Advise... broker-dealers and review responses to regulatory examinations. Provide regulatory advice...... read more
Company
In-House, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
Bellevue, WA
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
12
Tax, Complinace and firm broker/dealer as well as provide... expertise relating to regulatory issues associated with Retirement... in relevant insurance and securities law. Knowledge of other... insurance products, including fixed annuities, fixed indexed annuities and indexed universal life insurance, is... read more
Company
In-House, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
West Des Moines, IA
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
11
Tax, Complinace and firm broker/dealer as well as provide... expertise relating to regulatory issues associated with Retirement... in relevant insurance and securities law. Knowledge of other... insurance products, including fixed annuities, fixed indexed annuities and indexed universal life insurance, is... read more
Company
In-House
Experience
Min 7 yrs required
Location
Saint Louis, MO
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
95
ethics program. Monitor multi-state regulatory and licensing requirements to... ensure firmwide compliance. Assist fee billing analysis, personal securities transactions and annual attestations.... Act. Ensure all required regulatory filings are completed on... and annual audit for Broker Dealer). Research, understand and...... read more
Company
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
128
aspects of legal and regulatory matters relating to the... handling of legal and regulatory matters relating to the... Support the firm’s affiliated broker-dealer in connection with negotiating... of 1940 and related securities and corporate laws. JD... degree with strong academic... read more
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