Title: Conflicts and Case Opening Specialist Job Responsibilities: The Conflicts and Case Opening Specialist at the law firm is tasked with managing the new business intake process. Key responsibilities include: - Conducting thorough and accurate conflict of interest searches using internal and...
Title: Senior Securities Counsel Job Responsibilities: - Draft, review, and negotiate contracts related to the company's ETF and mutual fund distribution business. - Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: BDC (Business Development Company) Compliance Officer 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. Oversee and review the work...
OverviewA law firm seeks a Creditors' Rights Attorney to join their team in Maine. This role offers an opportunity to advance within a practice known for its experience and integrity in the financial services and real estate matters within...