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Regulatory Broker Dealer Securities Attorney Jobs in Minnesota

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Job info
Company
In-House
Experience
Min 7 yrs required
Location
Minneapolis, MN
Posted Date
Oct 17, 17
Info Source
Employer
products and services of broker-dealer and registered investment adviser.... (broker-dealer), potential legal exposure. Provide regulatory counsel on insurance, broker-dealer... an active and ever-changing regulatory environment, and coordinate with... Identify potential legal or regulatory issues which may impact... state securities and insurance regulatory inquiries and exams and...... read more
Company
In-House
Experience
Min 10 yrs required
Location
Minneapolis, MN
Posted Date
Oct 17, 17
Info Source
Employer
President and Group Counsel, Regulatory Affairs The candidate will... be responsible for managing regulatory affairs across all major... and the Financial Industry Regulatory Authority, with whom this... strategic legal advice on regulatory and legal matters, and... which includes ensuring that regulatory and legal requirements are... regulatory... read more
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