of Broker Compliance Job Title: Head of Broker Compliance Job Responsibilities: As the Head of Broker Compliance at the company, you will be responsible for ensuring that the operations adhere to the highest standards of regulatory and governance requirements. Key responsibilities include: Broker Compliance Program...
Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel is responsible for reviewing advertising materials to ensure compliance with applicable laws and brand requirements. This includes providing legal advice on content and advising on disclosure requirements and guidelines, particularly focusing on...
Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the... OTC Markets Group. Must have 5-12 years of experience with strong experience in securities matters. Must be licensed in the home jurisdiction or be eligible for admission without examination. Application...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
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...
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...
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: Associate Attorney Job Responsibilities: - Regulatory Defense & Compliance Oversight: Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities. - Drafting and Reviewing...
the Strategic Advisor Role Organization: FINRA Department: Market Regulation... & Transparency Services Salary Information: - Minimum Salary: $149,600 - Maximum Salary: $351,200 Job Requisition ID: R-008276 Experience Requirements: - Bachelor's Degree and a...
a critical role in FINRA's Initial Review Group (IRG)... a strong understanding of FINRA rules, federal securities laws,... and the securities markets, as well as excellent investigative skills. The Associate Principal Investigator will work closely with other internal and external...
Advisor III - Atlanta: - Job Title: Wealth Advisor III - Location: Atlanta, Georgia, USA - Category: Wealth, Brokerage and Premier Banking - Employment Type: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States of...
Title: Deputy Chief Compliance Officer - Remote Job Responsibilities: - Assist in the development, implementation, and administration of the company's Compliance Program, including supervising compliance team members responsible for ongoing compliance monitoring, assessment, and remediation. - Work closely with the Chief Compliance Officer...
Overview: A law firm seeks a dedicated and experienced Midlevel Securities Compliance Attorney to join its team. This role is ideal for a legal professional who excels in regulatory compliance, risk management, and corporate governance within the financial services sector....