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Regulatory Broker Dealer Securities Attorney Jobs

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Job info
Company
Recruiter
Experience
Min 5 yrs required
Location
Washington, DC
Posted Date
Jun 20, 18
Info Source
Recruiter
Total Views
6
Financial Services – Securities, Regulatory and Enforcement The candidate... be responsible for handling regulatory inquiries from the SEC,... CFTC, NFA and other regulatory authorities. Should preferably have... experience garnered in either a large law firm, financial services company or broker-dealer.... read more
Company
In-House, Cetera Financial Group, Inc
Experience
Min 5 yrs required
Location
El Segundo, CA
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
209
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, THE BANK OF NEW YORK MELLON CO...
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 11, 18
Info Source
Employer
Total Views
31
trading matters for the broker dealer, with a focus... with banking laws. Assessing regulatory impact of laws, rules... transactions, standard and non-standard broker-dealer agreements, and various third... Compliance and responding to regulatory inquiries, investigations and exam... responses, regulatory (FINRA, SEC) inquiries and... broker... read more
Company
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
99
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, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jul 07, 18
Info Source
Employer
Total Views
85
and management of all regulatory filings, disclosure and other... securities and the conduct of regulatory examinations. Assist in the... of pertinent legal and regulatory developments. Provide advice in... including sales practice and regulatory issues. Must have a... of experience with a Broker-dealer. Should be a strong...... read more
Company
In-House
Experience
Min 5 yrs required
Location
San Diego, CA
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
19
related to the company’s broker-dealer business. Analyze compliance, litigation... the company as a broker-dealer and registered investment advisor.... senior management on general broker-dealer issues, including both sales... experience working at a regulatory entity, law firm, or... have experience with the Securities Exchange Act of 1934,...... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Phoenix, AZ
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
88
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
Law Firm
Experience
Min 2 yrs required
Location
Richmond, VA
Posted Date
Jul 11, 18
Info Source
Employer
Total Views
2
Mandarin-Fluent Securities Attorney Duties: Advise... and private companies in securities offerings, commercial transactions &... compliance with US federal securities laws & regulations. Prepare... group including transfer agent, broker/ dealer, investor relations, auditing... securities exchange procedures, and related regulatory compliance activities; the research...... read more
Company
In-House
Experience
5-8 yrs required
Location
Houston, TX
Posted Date
Jul 03, 18
Info Source
Employer
Total Views
82
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, LPL Financial
Experience
Min 5 yrs required
Location
Fort Mill, SC
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
15
related to the company’s broker-dealer business. Analyze compliance, litigation... the company as a broker-dealer and registered investment advisor.... senior management on general broker-dealer issues, including both sales... experience working at a regulatory entity, law firm, or... have experience with the Securities Exchange Act of 1934,...... read more
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