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Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Director, Enforcement - Lead and Manage a Team of Attorneys H2: Essential Job Functions and Responsibilities Organization: FINRA (Financial Industry...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
Firm Seeking Mid-Level to Senior Associate for Financial Services Compliance and Regulatory Role Position Overview: **MEMBERS ONLY**SIGN UP NOW***., a top-tier law firm, is seeking a mid-level to senior associate attorney with a minimum of four years of...
This role provides expert legal counsel on regulatory and compliance matters related to registered investment advisors and broker-dealers. The ideal candidate will... have a deep understanding of financial regulations, a strong background in working with regulatory bodies such as t...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
examinations and investigations of broker-dealers' compliance with applicable rules... and regulations, and financial crimes. This is a senior-level position that involves supervising specialist examination staff, identifying risks, developing regulatory strategies, and managing staff to address those risks. The Director also...
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