Title: Tax Liaison Sr. - Fiduciary and Estate (Enrolled Agent) Job Responsibilities: 1. Coordinate with an outside vendor responsible for preparing tax returns to address fiduciary compliance needs. Provide necessary information for tax preparation, consult on moderate to complex tax issues, and...
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: Assistant General Counsel Job Responsibilities: - Acts as a subject matter expert and provides business leaders with legal advice on issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. - Ensures that business activities, policies, practices, and transactions comply with...
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...
HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the... Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and specialized knowledge...
Title: Associate Counsel – Third Party Distribution Job Responsibilities: - Provide legal advice and representation on matters related to the company's business activities and investment products. - Prepare resolutions and participate in major legal actions. - Liaise with the business on strategic issues and...
Title: Securities Transaction and Compliance Coordinator Job Responsibilities: The Securities Transaction and Compliance Coordinator will be responsible for a variety of duties related to securities transactions and compliance within the law firm's Office of General Counsel. The key responsibilities include: - Reviewing, analyzing,...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: The Vice President of Capital Markets, Fixed Income, and Compliance Testing is a strategic leader responsible for overseeing the Capital Markets, Fixed Income Specialist, and Compliance teams within the organization's...