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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. Demonstrate expertise with respect to the Exchange Act...
abides by the requirements of 29 CFR Part 471, Appendix A. This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, national origin, age and disability. FINRA abides by the requirements of 29 CFR...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and...
organization is seeking an experienced Assistant General Counsel, Regulatory to join their team. The ideal candidate will have a law degree from an accredited law school, admission to a bar, and a minimum of 6-8 years of directly related legal...
General Counsel, Regulatory - Full Time Posted Yesterday Job Requisition ID: R-008412 The organization is looking for an Associate General Counsel, Regulatory to manage the complete life cycle of adopting new regulatory requirements. This includes providing expert...
Firm Seeks Financial Services Compliance & Regulatory Associate H1: Join Our Market-Leading Financial Services Practice Group H2: Exciting Opportunity for Mid-level to Senior Associate Are you a highly skilled attorney with at least four years of experience...
a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector. The ideal candidate will have a strong background in advising registered investment advisors and broker-dealers on regulatory issues, focusing... on the Investment Advisers Ac...
will have a robust compliance and regulatory background, with specific expertise in advising registered investment advisors and broker-dealers. This role requires a... deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and involve...
Associate, Counsel: Job Description and Requirements Company: Asset Management Firm Department: Legal Job Type: Permanent Introduction: **MEMBERS ONLY**SIGN UP NOW***. has partnered with a leading asset management company in their search for a Senior Associate, Counsel with registered fund experience....
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...