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Regulatory Counsel Jobs in Maryland

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Job info
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
5
The Financial Industry Regulatory Authority (FINRA) is seeking... supervision of a high-risk regulatory program driven by tips... plans which properly focus Regulatory Operation resources. Under the... unit effectively discharges its regulatory responsibilities. Assist OWB... to and addresses emerging regulatory issues. Proactively identify... regulatory... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
6
The Financial Industry Regulatory Authority (FINRA) is seeking... quantitative objectives of the regulatory program are met and... any high-risk matters or regulatory issues that may impact... and staff of other regulatory agencies, on fraud matters.... Proactively identify emerging regulatory issues and trends that... regulatory... read more
Company
In-House, TD Ameritrade IP Company, Inc
Experience
3-5 yrs required
Location
Columbia, MD
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
47
Regulatory Investigations Associate Counsel The... and to respond to regulatory inquiries. Work with senior... associated persons against potential regulatory actions. Facilitate and coordinate... potential issues raised in regulatory inquiries and advise TD... for the resolution of regulatory enforcement matters. Provide counsel... regulatory... read more
Company
In-House, T. Rowe Price Group, Inc.
Experience
Location
Baltimore, MD
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
9
Counsel on any business or regulatory matters that arise relative... account business. Regulatory Filings/Policies and Procedures. Responsible... advising on the firm’s regulatory filings including Form ADV... implementing new and amended regulatory requirements applicable to US... the workings of applicable regulatory agencies – CFTC, SEC,...... read more
Company
In-House, T. Rowe Price Group, Inc.
Experience
Location
Baltimore, MD
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
5
Counsel lines as well as regulatory filings for the firm... negotiate resolutions. Regulatory Filings/Policies and Procedures. Responsible... advising on the firm’s regulatory filings including Form ADV... implementing new and amended regulatory requirements applicable to US... the workings of applicable regulatory agencies – SEC, FINRA,...... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
5
The Financial Industry Regulatory Authority (FINRA) is seeking... in specialized area of regulatory responsibility. Qualifications ... and proactively addressing emerging regulatory issues before they harm... reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.... read more
Company
In-House, Morgan Stanley
Experience
Location
Baltimore, MD
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
9
analysts who advise and counsel each business unit regarding... existing and new regulations, regulatory guidance and industry developments... track and analyze applicable regulatory developments · Act... documentation needs based on regulatory developments, and related implementation... familiarity with current financial regulatory requirements, especially in the...... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
4
The Financial Industry Regulatory Authority (FINRA) is seeking... in specialized area of regulatory responsibility. · Maintain... and proactively addressing emerging regulatory issues before they harm... reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.... read more
Company
In-House
Experience
8-15 yrs required
Location
Baltimore, MD
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
101
Counsel on any business or regulatory matters that arise relative... the managed account business. Regulatory Filings/Policies and Procedures. Responsible... advising on the firm’s regulatory filings including Form ADV... implementing new and amended regulatory requirements applicable to US... the workings of applicable regulatory agencies – SEC, FINRA,...... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 09, 18
Info Source
Employer
Total Views
10
The Financial Industry Regulatory Authority (FINRA) is seeking... in specialized area of regulatory responsibility. Qualifications ... and proactively addressing emerging regulatory issues before they harm... reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.... read more
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