Save your search progress and never miss an update
Manager - Asset Management, Broker Dealer (Job Number: 26881)... Adams is seeking a Tax Senior Manager with expertise in Asset Management and Broker Dealer to join their... team in Pasadena, CA. This role offers a competitive salary range of...
ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related... issues, including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Desired skill sets include: statutory and regulatory...
highly regarded Financial Services Practice Group at **MEMBERS ONLY**SIGN UP NOW***.. We are looking for a motivated and dedicated individual with a strong background in compliance and regulatory issues, specifically with registered investment advisors and broker-dealers. This position is avai......
highly skilled and motivated Broker-Dealer Regulatory Attorney to join... in the regulation of broker-dealers. We are looking for... a self-starter with a strong academic background and excellent drafting skills. The ideal candidate should also have a deep understanding of the...
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...
Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related... issues, including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Desired skill sets include: statutory and regulatory...
Firm Seeks Financial Services Compliance & Regulatory Associate H1: Join Our Market-Leading Financial Services Practice Group H2: Exciting Opportunity for Mid-level to Senior Associate Are you a highly skilled attorney with at least four years of experience...
a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector. The ideal candidate will have a strong background in advising registered investment advisors and broker-dealers on regulatory issues, focusing... on the Investment Advisers Ac...
will have a robust compliance and regulatory background, with specific expertise in advising registered investment advisors and broker-dealers. This role requires a... deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and involve...