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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
() Our ambition is to be an inclusive, equitable and sustainable workplace, reflecting the diversity of our customers and communities. You can read more about our commitment to diversity, equity and inclusion here: () We also...
Doctorate degree from an accredited law school and admission to a state bar. Salary The salary for this position is competitive and commensurate with experience. Summary Company is looking for a Vice President, Counsel to join their Pershing...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is...
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...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location. - Maximum salary ranges from $246,600 to $296,100, depending on location. - Actual compensation is based on various...
company is an equal opportunity employer. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, childbirth and related medical conditions, lactation, genetic information, gender, sexual...
() Arch Insurance Group is a division of **MEMBERS ONLY**SIGN UP NOW***. (NASDAQ: ACGL), a Bermuda-based company that provides insurance, reinsurance and mortgage insurance on a worldwide basis through its wholly owned subsidiaries. Arch offers competitive pay and...
Title: Tax Senior Manager - Financial Services - Mutual Fund (East Region City Locations) Experience: 8+ years Salary Range: $119,490 - $272,090 Locations: Available in 22 cities Position Summary: - Seeking a leader with a passion for financial...
Manager - Financial Services - Mutual Fund Tax (East Region City Locations) Salary Information: $84,980 to $193,440 per year, plus potential for annual incentive program Job Title: Tax Manager Experience: 5+ years providing tax planning services or...