Save your search progress and never miss an update
range for Woodland Hills, CA: $118,000 - $234,000 Compensation range for El Segundo, CA: $122,000 - $241,000 Tax Senior Manager - Asset Management, Broker Dealer At Moss Adams, we... foster a culture in Asset Management and Broker Dealer industries to join......
highly skilled and motivated Broker-Dealer Regulatory Attorney to join... in the regulation of broker-dealers. We are looking for... a self-starter with a strong academic background and excellent drafting skills. The ideal candidate should also have a deep understanding of the...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Provide high quality and timely legal and advisory...
Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related... issues, including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Desired skill sets include: statutory and regulatory...
compliance and regulatory matters. The ideal candidate will play a crucial role in advising registered investment advisors and broker-dealers on various regulatory and... compliance issues, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of...
experience in compliance and regulatory matters. The ideal candidate will be crucial in advising and counseling registered investment advisors and broker-dealers on various regulatory and... compliance issues, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules... and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...