Interactions Compliance Manager Category Corporate Functions & Risk Job Id 2025-0001068 Posted Date 01/21/2025 Job Type Full time Charlotte, NC, United States Tempe, AZ, United States Los Angeles, CA, United States Minneapolis, MN, United States At ....
Title: Regional Director of Strategic Advice & Planning Job Responsibilities: The Regional Director of Strategic Advice & Planning is tasked with leading the Strategic Advice & Planning team for the Midwest Region within the company. This role involves driving growth in planning...
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IV The candidate will be the primary attorney providing legal support to the following functions within the company's retail brokerage line of business within WIM: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities...
II - WIM, Investment Solutions COE The candidate will be a junior attorney working with a more senior attorney to provide legal support to the following functions within Advisors, the retail brokerage line of business within WIM: (a) equity, fixed...
IV The candidate will provide senior level legal support to the business units within company. Will play a key role in reviewing and assessing the legal and strategic framework within which these products are offered to clients. Will also coordinate...
Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide...
accurate registration filings with all Federal and State regulators including the SEC, FINRA, State Securities Departments, State... Mortgage Licensing Departments, and the National Futures Association. Responsible for establishing relationships with key partners, both internal and external, to further the awa...
Manager The candidate will oversee Registration functions for the three Broker Dealers associated with company Advisors. Reports to the Director of Registration and Employee Activities. Responsibilities include the development and execution of a robust registration compliance program supporting all business...
Financial Crimes Risk Manager Duties: Coordinate with key business line contacts and subject matter experts to identify and document key risks within products, services and processes and the related controls in place to mitigate those risks. Develop agreements with the...
III The candidate will review and negotiate disclosure documents, distribution agreements, marketing materials and other documents in connection with securities and other investment product offerings. Review and negotiate purchase agreements, engagement letters, formation documents, conflict waivers, joinder and other agreements...
III The candidate will review and negotiate disclosure documents, distribution agreements, marketing materials and other documents in connection with securities and other investment product offerings. Review and negotiate purchase agreements, engagement letters, formation documents, conflict waivers, joinder and other agreements...
inquiries, investigations, on the record interviews and charges from various regulatory agencies including the SEC, FINRA, all 50 states, and... other regulatory and self-regulatory agencies. Attorneys also work with Compliance and Internal Investigations to conduct internal investigations of issues that...