Research and provide legal advice to the company’s business concerning FINRA regulatory and broker-dealer compliance... issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms, conditions, and other pertinent information. - Keep updated on regula...
Title: Staff Counsel Job Responsibilities: As a Staff Counsel within the company's Legal organization, the primary responsibilities involve serving as a trusted legal advisor to the ECR group. The role requires providing guidance on complex issues and customer correspondence, ensuring exceptional attention-to-detail...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of clients...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Participate in mock regulatory examinations and compliance program reviews. - Assist with policy and procedure reviews, drafting reports, and creating manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to...
Title: Capital and Transversal Risk Team Lead Job Responsibilities: The Capital and Transversal Risk Team Lead at the company is responsible for establishing and managing a cross-disciplinary team that focuses on enhancing Market Risk Management (MRM) execution and governance. The role provides...