Job Title: Manager, Broker-Dealer Compliance Job Responsibilities: - Provide senior... compliance oversight for all aspects of **Members Only** Capital Markets (CCM), including trading, reporting, policies, procedures, and training. - Coordinate closely with cross-functional partners in Legal, Operations, Risk, Tax, Finance, and Audit to ensure...
securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and providing related opinions. - Handling broker-dealer and investment adviser status... issues. - Offering counsel regarding broker-dealer and investment adviser registration... and compliance. - Assisting in the s...
Title: Attorney III Job Responsibilities: The Attorney III position at the organization involves handling complex and sensitive insurance regulatory filings and cases under the direction of the Corporate Affairs Bureau Assistant Chief Counsel. The role includes dealing with matters such as title...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Title: Senior Associate, Licensing Acquisition Full Time Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission...
aspects of financial services tax engagements, including hedge funds, private equity, venture capital, broker-dealers, and management companies. - Research... and draft memoranda on complex tax matters. - Identify and implement tax planning opportunities. - Handle and resolve tax controversies. - Oversee complete tax research...
Title: Attorney III Job Responsibilities: The Attorney III at the Department of Insurance is expected to handle a wide array of complex and sensitive insurance regulatory filings and cases. The responsibilities include dealing with matters related to title and underwritten title, workers’...
working on a variety of issues under federal securities laws. These include: - Addressing Investment Company Act status issues and opinions - Handling broker-dealer and investment adviser status... issues - Providing counsel regarding broker-dealer and investment adviser registration... and compl...
status issues and opinions, broker-dealer and investment adviser status... issues, and the setup of alternative investment platforms. Much of the work involves technology and early-stage companies. SEC experience is strongly Investment Company Act status issues...