Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management business teams throughout all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting...
Title: Transportation Associate Attorney Job Responsibilities: - Defend clients in the trucking and transportation industry, including freight carriers, transportation brokers, truck insurers, public entities, school bus operators, long and short haul truckers, and waste management groups involved in both intra-state...
the corporate legal advice team at the company. The position involves providing strategic legal advice, particularly focusing on retail investor agreements and conflict disclosures. The VP will support the advisory business and, to a lesser extent, the broker-dealer and custodial...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management business teams throughout all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management business teams through the development of new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC – Wealth Management Platforms, Programs & Advisory Attorney is responsible for providing strategic legal advice to various business units within the company. This position involves...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management business teams through all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related...
for providing strategic legal advice to various business units within the company, focusing on retail investor agreements and conflict disclosures, primarily supporting the advisory business but also the broker-dealer and custodial businesses. Key... responsibilities include: - Counseling wealth management business te...
Electronic Communications Surveillance Program and Trade Surveillance for the Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Key responsibilities include: - Oversight... of trade surveillance for Swap Dealer (interest rate, FX commodities-energy)... and institutional Broker-Dealers (equity trading & fix......
Program and Trade Surveillance for the Company's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Key responsibilities include: - Oversight... of trade surveillance for Swap Dealer (interest rate, FX commodities-energy)... and institutional Broker-Dealers (equity trading & fixed... income (...
Surveillance Program and Trade Surveillance for the Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. The role is critical... in maintaining the Surveillance function to identify and mitigate risks associated with market abuse through the management of...
Trade Surveillance for the Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Your primary duties will... include maintaining the Surveillance function to identify and mitigate risks related to market abuse by managing controls and reviews over the trades,...
and Trade Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. The role involves maintaining... the Surveillance function to identify and mitigate risks related to market abuse by managing controls and reviews over trades, orders, and communications of emp...
Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. Your primary role will... be to maintain the Surveillance function to identify and reduce risks related to market abuse by managing controls and reviews over the trades, orders, and...
Trade Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. The role entails maintaining... the Surveillance function to reduce and identify risks related to market abuse through the management of controls and reviews over the trades, orders, and communicat...
Communications Surveillance Program and Trade Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. Your primary responsibilities will... include: - Managing the Surveillance function to identify and mitigate risks related to market abuse through controls and reviews of trades, or...
Title: Tech Director, Advanced Consulting Group Job Responsibilities: - Drive sales of life insurance, annuity, mutual fund, and retirement plans through all distribution channels. - Provide comprehensive consulting services in tax, legal, and technical areas. - Offer strategic consultation in business planning, estate planning,...
Title: Examination Director** **Job Responsibilities:** The Examination Director is a leadership role within the organization’s Firm Examinations, a critical component of the regulatory operations aimed at overseeing the activities of member firms. This position involves: - Managing a team of 4-6 Examination Managers...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners, providing leadership, coaching, development, and mentorship. - Contribute to annual Examination Planning efforts by sharing input and intelligence. - Communicate guidance, policies, and key initiatives effectively to...
Title: Examination Director Job Responsibilities: The Examination Director is a key leadership role within the organization's regulatory operations, specifically within the department responsible for overseeing member firms. The director is tasked with directly managing a team of 4-6 Examination Managers and Senior...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners. - Provide input and intelligence to inform annual Examination Planning efforts. - Communicate guidance, policies, and key initiatives effectively to staff and management. - Develop talent, set clear...
regulatory compliance for banks, broker dealers, and other financial... institutions. - Evaluate the current state of AML/CFT/Sanctions compliance programs, identify deficiencies, enhance controls, and provide advice to strengthen AML/CFT/Sanctions Programs. - Develop and implement AML policies and controls. - Conduct...
Title:** Examination Director **Job Responsibilities:** The Examination Director at the organization is a key leadership role within the department responsible for overseeing the activities of member firms through the organization's Examinations Program. This role is pivotal in ensuring regulatory compliance and market...
Title: Examination Director** **Job Responsibilities:** The Examination Director at the organization plays a pivotal role in overseeing and ensuring the integrity and effectiveness of the organization's regulatory operations. This position involves managing a team of 4-6 Examination Managers and Senior Principal Examiners,...
Title: Examination Director - All FINRA Locations Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners. - Provide input and intelligence to inform annual Examination Planning efforts. - Communicate guidance, policies, and key initiatives to staff and management effectively. -...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners, providing coaching, development, and mentorship. - Contribute to the annual Examination Planning efforts by sharing input and intelligence. - Communicate guidance, policies, and key initiatives effectively to...
Title: Director, Specialty Compliance and Ethics - Trade Optimization Job Responsibilities: The Director of Specialty Compliance and Ethics for Trade Optimization at the company is responsible for overseeing import and export compliance to minimize risks and ensure the smooth entry of all...
functions that support Sales, Service & Marketing (SSM) in the Southeast and South Central Regions. Key responsibilities include: - Transaction Strategy: Execute Dealer Network strategies, including negotiating... real estate contracts, both business terms and contract language, for routine and complex...
Title: Assistant General Counsel, Broker-Dealer Counseling and Regulatory Examinations Job... to the company's retail broker-dealer. Key responsibilities include: - Leading... internal coordination for regulatory examinations and investigations by the Securities and Exchange Commission (SEC), FINRA, and state securities departments. This involves interfacing...
Title: Senior Vice President, Associate General Counsel Job Responsibilities: The Senior Vice President, Associate General Counsel will play a pivotal role in assisting other attorneys within the department, as well as senior members of the business, including the Deputy General...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on lega...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on legal...
Title: Securities Litigation Attorney Job Responsibilities: The Securities Litigation Attorney at the law firm will be responsible for representing various clients including broker/dealers, life insurance carriers, financial... institutions, investment advisory firms, and their employees. The attorney will handle cases involving: - Securities and...
Attorney Job Title: Associate Attorney Job Responsibilities: - Representation of clients in legal proceedings, which includes conducting research, drafting pleadings, discovery, and various motions. - Taking and defending depositions, handling court hearings, and communicating with clients regarding case strategy. - Participation in mediation and trials. -...
Title: AVP, Associate Counsel Job Responsibilities: The Assistant Vice President, Associate Counsel in the company's Early Dispute Resolution group provides a wide range of in-house legal services. The primary responsibilities include responding to investor complaints related to sales practices and...
Title: AVP, Associate Counsel Job Responsibilities: - Provide a broad range of in-house legal services with a primary focus on responding to investor complaints, including sales practice and operational complaints, and regulatory inquiries. - Defend the company and its advisors in litigation. - Render...
Title: AVP, Associate Counsel Job Responsibilities: The Assistant Vice President, Associate Counsel is primarily responsible for providing a broad range of in-house legal services within the company's Early Dispute Resolution group. Key responsibilities include: - Responding to investor complaints, including both sales practice...
Title: Senior Counsel – Distribution Counsel (BD/RIA/Insurance) Job Responsibilities: The Senior Counsel will play a pivotal role in ensuring the success and compliance of the organization by providing strategic legal guidance and support to distribution and product leadership within the Protection...
development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on l...
Title: US Associate General Counsel Job Responsibilities: - Support the General Counsel in representing the company to the US regulatory and legislative community. - Lead regulatory workstreams, providing advice to the market and internal stakeholders. - Develop the company's regulatory...
brand requirements. This includes providing legal advice on content and advising on disclosure requirements and guidelines, particularly focusing on digital and internet communications such as websites, email, and social media posts. The role involves facilitating compliance with broker-dealer and inve...
Title: Principal Investigator, Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator, Specialist Teams, is responsible for conducting high complexity routine and special investigations of FINRA member firms. This includes investigating potentially suspicious activities of individuals associated with FINRA member...
Title: Principal Investigator, Specialist Team - All **MEMBERS ONLY**SIGN UP NOW***. Locations Job Responsibilities: The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of **MEMBERS ONLY**SIGN UP NOW***. member firms. This includes investigating potentially suspicious activities of individuals associated with these...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Teams, is responsible for conducting high complexity routine and special investigations of organization member firms. This includes investigating potentially suspicious activities of individuals associated with organization member firms and providing guidance...
Title: Principal Investigator, Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of FINRA member firms. This role involves investigating potentially suspicious activities of individuals associated with...
Title: Principal Investigator, Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator, Specialist Teams, is responsible for conducting high complexity routine and special investigations of FINRA member firms. This includes investigating potentially suspicious activities of persons associated with FINRA member...
Title: Principal Investigator, Specialist Team Job Responsibilities: - Conduct high complexity routine and special investigations of organization member firms. - Investigate potentially suspicious activities of persons associated with organization member firms. - Provide guidance to Member Supervision staff on complex assignments. - Proactively surveil the...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Teams is responsible for conducting high complexity routine and special investigations of organization member firms. This role involves investigating potentially suspicious activities of individuals associated with organization member firms and providing...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator is responsible for conducting high complexity routine and special investigations of organization member firms and investigating potentially suspicious activities of persons associated with these firms. The role involves providing guidance to Member...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Teams, is tasked with conducting high complexity routine and special investigations of organization member firms. This role involves investigating potentially suspicious activities of persons associated with organization member firms and providing...