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disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions: Represent FINRA in a first or... second chair capacity in complex disciplinary proceedings involving violations of the...
The candidate will have broad responsibility and scope and involves a wide variety of corporate and securities matters. Applicants should be detail-oriented and eager to learn and grow. As a paralegal with will use independent judgement while prioritizing competing assignments....
addition to completing all required steps and providing necessary information, you must also be respectful and honest in your communications. c. **MEMBERS ONLY**SIGN UP NOW***. does not request or require personal information from candidates during the application process. d. Wells...
AVP, Associate General Counsel - **MEMBERS ONLY**SIGN UP NOW***. H2: Join a Dynamic Team at **MEMBERS ONLY**SIGN UP NOW***. Summary: - **MEMBERS ONLY**SIGN UP NOW***. is seeking an Assistant Vice President, Associate General Counsel to join their Early Dispute Resolution group. - The role will...
Chief Counsel & Chief Compliance Officer - Legal & Compliance Role at Global Risk and Strategy Firm H2: Join Our Team at Marsh McLennan: 3 Locations Available - New York, Chicago, and Boston Bold Headline: Seeking Experienced Legal...
programs for MMA Securities, MMA Asset Management, and MMC Securities - Provide legal and regulatory guidance for broker-dealer and investment advisor operations - Directly lead a team of Legal and Compliance professionals - Act as the FINRA and SEC...
Title: Chief Counsel & Chief Compliance Officer Locations: New York, NY; Chicago, IL; Boston, MA Salary Range: $138,700 - $277,300 Responsibilities: - Serve as the trusted adviser for Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan...
Friendly Job Title: Chief Counsel and Chief Compliance Officer at Marsh McLennan H1 Heading: Join Our Team as Chief Counsel & Chief Compliance Officer at Marsh McLennan H2 Heading: Lead Legal and Compliance for Marsh McLennan in 3...
Friendly Job Title: Chief Counsel & Chief Compliance Officer - Legal & Compliance Leader at Marsh McLennan H1 Heading: Join Our Team as Chief Counsel & Chief Compliance Officer at Marsh McLennan H2 Heading: Lead Legal & Compliance...
Title: General Counsel (Public Funds) - Phoenix, AZ - **MEMBERS ONLY**SIGN UP NOW***. H2 Title: Legal Counsel for Publicly Traded REIT and Investment Company Salary: The salary for this position is competitive and will be based on experience and qualifications....