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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......
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...