Chief Compliance Officer
Duties: Oversee the broker dealer, RIA and Insurance agency compliance. Oversee and lead the Compliance department for the firm. Will lead all compliance issues along with regulatory interaction and audit functions. Will be responsible for developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable the broker dealer and RIA to effectively manage risk and remain in Compliance with the ...
Senior Litigation & Regulatory Counsel
Duties: Provide legal advice and counsel on assigned subject areas. Recommend and implement best practices and proactive strategies consistent with legal requirements and emerging trends to minimize liability and promote the Company’s strategic plan. Work with stakeholders to develop, review, and revise, as required, company policies and procedures in assigned subject areas. Recommend changes to policies based on legal developments....
Law Clerk Regulatory (Attorney)
The candidate will have JD Degree; willingness to sit for Florida Bar with 6+ months of commercial litigation experience, superb writing skills, and an interest in complex insurance issues. Must have the ability to work both independently and as part of a larger team, as this candidate will be primarily assisting partners in our New York office.
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Associate General Counsel, Regulatory Affairs
Duties: Represents before government agencies, regulators, and SROs in connection with investigations, inquiries and exams. Conducts internal reviews and investigations. Provides advice, counsel and recommendations regarding regulatory matters. Partners with business and control functions including legal, compliance, supervision, risk, and audit to manage the Firm’s responses to regulatory matters and consider actions to enha...