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Overview:A law firm in San Francisco, CA, is seeking a highly skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role provides expert legal counsel on regulatory and compliance matters related to registered investment advisors...
Overview: A law firm in Los Angeles, CA, is seeking a Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role requires a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector....
Overview:A law firm in Los Angeles, CA, seeks a skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will have a robust compliance and regulatory background, with specific expertise in advising registered investment...
experience in SEC and FINRA regulatory matters. The candidate... will advise clients on SEC regulatory and securities issues and provide counsel on unique and complex legal issues. Will be responsible for providing advice and trusted counsel to clients and will...
Securities Act of 1933, Investment Company Act of 1940, and other relevant regulations in the financial services industry. The ideal candidate will provide counsel on SEC, FINRA, Fund, and '40 Act... issues, ensuring compliance and strategic guidance to clients.Job Duti...
Securities/FINRA matters. This role offers a compelling opportunity for a seasoned attorney to contribute to the firm's success.Duties:Manage and handle a diverse caseload, primarily focusing on Securities and FINRA cases.Conduct thorough legal research,... analysis, and document preparation.Represent clients in c...
law firm located in Palo Alto, CA, is seeking an experienced FinTech and Blockchain Counsel with a minimum of 8 years of legal practice. The ideal candidate should have a strong background in US federal securities laws, including a history...
law firm situated in San Francisco, CA, is in search of an experienced FinTech and Blockchain Counsel with a minimum of 8 years of legal practice. The preferred candidate should have a comprehensive understanding of US federal securities laws and...
corporate company in Woodland Hills, CA, is seeking an Assistant General Counsel to report directly to the Chief Counsel, Group Retirement and Institutional Markets Services. This role involves providing legal expertise and guidance on various issues and regulatory inquiries related...
in CA and possess a balanced skill set encompassing securities/FINRA work and regular professional liability defense cases. Civil litigation experience is a prerequisite, while FINRA experience is advantageous.Duties:Handle a... diverse caseload involving securities/FINRA matters and regular professional liability defense...