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Regulatory Broker Dealer Securities Attorney Jobs

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Job info
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
Washington, DC
Posted Date
Feb 20, 19
Info Source
Recruiter
Total Views
19
investment management and broker-dealer regulatory associate attorney with 2-4... a wide variety of broker-dealer and investment adviser clients... the federal and state securities laws and the rules... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... Securities and knowledge related to regulatory matters with the SEC...... read more
Company
In-House
Experience
Min 7 yrs required
Location
Minneapolis, MN
Posted Date
Feb 20, 19
Info Source
Employer
Total Views
18
variety of legal and regulatory issues. Brokerage services and... an active and ever-changing regulatory environment, and coordinate with... Identify potential legal or regulatory issues which may impact... FINRA and state securities regulatory inquiries and exams and... party. Research legal and regulatory requirements and industry practices... regulatory... read more
Company
In-House, Thrivent Financial
Experience
Min 7 yrs required
Location
Appleton, WI
Posted Date
Feb 20, 19
Info Source
Employer
Total Views
29
variety of legal and regulatory issues. Brokerage services and... an active and ever-changing regulatory environment, and coordinate with... Identify potential legal or regulatory issues which may impact... FINRA and state securities regulatory inquiries and exams and... party. Research legal and regulatory requirements and industry practices... regulatory... read more
Company
Law Firm
Experience
2-3 yrs required
Location
Washington, DC
Posted Date
Feb 15, 19
Info Source
Employer
Total Views
7
Investment Management and Broker-Dealer Regulatory Associate The candidate will... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... a wide variety of broker-dealer and investment adviser clients... the federal and state securities laws and the rules... and knowledge related to regulatory matters with the SEC...... read more
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Feb 20, 19
Info Source
Recruiter
Total Views
34
Total Applies
4
investment management and broker-dealer regulatory associate attorney with 2-4... a wide variety of broker-dealer and investment adviser clients... the federal and state securities laws and the rules... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... Securities and knowledge related to regulatory matters with the SEC...... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Feb 15, 19
Info Source
Employer
Total Views
23
Total Applies
2
Investment Management and Broker-Dealer Regulatory Associate The candidate will... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... a wide variety of broker-dealer and investment adviser clients... the federal and state securities laws and the rules... and knowledge related to regulatory matters with the SEC...... read more
Company
In-House
Experience
2-4 yrs required
Location
Philadelphia, PA
Posted Date
Feb 19, 19
Info Source
Employer
Total Views
8
including general commercial matters, broker-dealer and securities sales issues,... and insurance regulatory requirements, to various clients... particularly insurance, securities or broker-dealer, is a plus. Perform... the Company’s insurance and broker-dealer operations. Read, interpret and... partners. Analyze changes to regulatory requirements and proactively manage... regulatory developments. Provide counsel and... securities... read more
Company
Recruiter, BCG Attorney Search
Experience
2-8 yrs required
Location
New York City, NY
Posted Date
Feb 21, 19
Info Source
Recruiter
Total Views
8
AmLaw firm seeks associate attorney with 3-6 years of... financial services regulatory and compliance experience. The... researching and analyzing federal securities laws and regulations, as... rules; forming FINRA member broker-dealers; advising crypto exchanges and... SEC, FINRA and state regulatory examination and/or enforcement processes;...... read more
Company
In-House, Lombard International Assuranc...
Experience
2-4 yrs required
Location
Philadelphia, PA
Posted Date
Feb 19, 19
Info Source
Employer
Total Views
35
including general commercial matters, broker-dealer and securities sales issues,... and insurance regulatory requirements, to various clients... particularly insurance, securities or broker-dealer, is a plus. This... the Company’s insurance and broker-dealer operations. Read, interpret and... partners. Analyze changes to regulatory requirements and proactively manage... regulatory developments. Provide counsel and...... read more
Company
In-House
Experience
Min 7 yrs required
Location
Minneapolis, MN
Posted Date
Feb 20, 19
Info Source
Employer
Total Views
48
of litigation, arbitration, and regulatory matters for the insurance,... on emerging legal and regulatory issues and their associated... of litigation, arbitration and regulatory matters internally or through... FINRA and state securities regulatory inquiries and exams and... Identify potential legal or regulatory trends and issues which... regulatory... read more
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