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Regulatory Broker Dealer Securities Attorney Jobs

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Job info
Company
In-House
Experience
Min 7 yrs required
Location
Minneapolis, MN
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
7
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
Nov 05, 18
Info Source
Employer
Total Views
10
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, WilmerHale.
Experience
Location
New York City, NY
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
42
Broker - Dealer Compliance and... securities financial institutions in integrating regulatory requirements into their business... practices for compliance with regulatory requirements; assisting clients in... responding to regulatory requests in the context... enforcement investigations; and obtaining regulatory approvals for products, acquisitions,... interest. Learn more about Broker-Dealer Compliance and Regulation Practice....... read more
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Nov 09, 18
Info Source
Employer
Total Views
40
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, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
Bellevue, WA
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
29
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, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
Bellevue, WA
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
33
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, Prudential Financial, Inc
Experience
12-15 yrs required
Location
Newark, NJ
Posted Date
Nov 09, 18
Info Source
Employer
Total Views
45
Total Applies
1
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, Cetera Financial Group, Inc
Experience
Min 5 yrs required
Location
El Segundo, CA
Posted Date
Nov 07, 18
Info Source
Employer
Total Views
293
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
Law Firm
Experience
Location
Washington, DC
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
9
Broker - Dealer Compliance and... securities financial institutions in integrating regulatory requirements into their business... practices for compliance with regulatory requirements; assisting clients in... responding to regulatory requests in the context... enforcement investigations; and obtaining regulatory approvals for products, acquisitions,... interest. Learn more about Broker-Dealer Compliance and Regulation Practice....... read more
Company
In-House, Symetra Financial Corporation
Experience
Min 5 yrs required
Location
West Des Moines, IA
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
37
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
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