Save your search progress and never miss an update
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...
Manager - Asset Management, Broker Dealer (Job Number: 26881)... our Asset Management and Broker Dealer team in Pasadena,... CA. This is a full-time position with opportunities for growth and development in a supportive and values-driven environment. As a Tax Senior...
Services. This role involves providing legal expertise and guidance on various issues and regulatory inquiries related to the firm's broker-dealer and registered investment adviser... operations. The Assistant General Counsel will collaborate with senior business and compliance professionals, participate in...
Manager - Asset Management, Broker Dealer (Job Number: 26881)... Adams is seeking a Tax Senior Manager with expertise in Asset Management and Broker Dealer to join their... team in Pasadena, CA. This role offers a competitive salary range of...
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...