Save your search progress and never miss an update
a minimum of four years’ experience in compliance and regulatory matters to join their Financial Services Practice Group. - The ideal candidate will have experience working with registered investment advisors and broker-dealers,... specifically with the Investment Advisers Act of 1......
ideal candidate will have substantial experience in compliance and regulatory matters, specifically with registered investment advisors and broker-dealers.... This role demands a deep understanding of the Investment Advisers Act of 1940... and the Investment Company Act of 1940... and...
strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at . Please note that this number is exclusively for inquiries regarding application...
Compliance Advisor Senior Manager: Job Summary... The Compliance Advisor Senior Manager will work... support three institutional FINRA registered broker dealers. This role... Capital One. The Compliance Advisor Senior Manager will be... responsible for managing compliance risk arising from federal...
Overview: A law firm in New York City is seeking a highly skilled Associate Attorney to provide legal support to the Financial Institutions Group (FIG) and Strategy groups and FIG platform companies. The successful candidate will assist in various transactions,...
for providing legal advice and counsel supporting the FIG (Financial Institutions Group) and Strategy groups. Duties include working directly with investment professionals and in-house counsel... on strategic transactions, fund-related matters, and providing general legal support to the FIG and Str...
Associate - Lateral Location: New York Practice Area: Legal Job Function: Legal Open Date: Wednesday, April 17, 2024 Job ID: 2585 Law Firm in New York seeking an Associate with 2+ years of experience to join their team supporting a...
and counsel supporting the FIG and Strategy groups. The ideal candidate will work closely with investment professionals, in-house counsel, and... general counsels of platform companies to handle transactions, fund-related matters, and general legal support. This role requires strong interpersonal skil...