Job Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist... in mock regulatory examinations and compliance program... reviews, which includes... complexity and coordinate and consolidate the work of colleagues during these reviews. - Provide regulatory consulting services to clients,... such as cr...
BDC (Business Development Company) Compliance Officer Job Responsibilities: -... all aspects of mock regulatory examinations and compliance program... reviews, including preparing... document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project team members. -...
on general corporate, litigation, regulatory, and compliance matters. - Lead... and mentor legal team members across various functional areas, including transactions, financing, disputes and claims, employment, insurance, and records management. - Partner with the Chief Legal Officer (CLO) and executive leadership to...
Research and provide legal advice regarding FINRA regulatory and broker dealer compliance... issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and other information. - Keep abreast of regulatory developments that impact regulated... e...
range of matters, including zoning, permitting, leasing, title and easements, land title, planning, and regulatory proceedings. The firm represents... property owners, developers, nonprofits, investors, utilities, and land trusts. Candidates will handle matters such as environmental compliance, boundary disputes, and energ......