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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...
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...
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...
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...