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direct OGC's program with respect to regulatory matters requiring specialized expertise 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 and Investment Advisers Act, their rules,......
Principal Analyst, Regulatory Services Management H1 Heading: Join... FINRA's Regulatory Services Management Team as a Senior... in FINRA's Regulatory Services Management team is responsible for... managing and maintaining controls for standard and non-standard reports to be delivered to the...
Principal Analyst, Regulatory Services Management - Organization: FINRA's Department... of Market Regulation and Transparency Services - Location: Various locations (see below for salary information) - Education and experience requirements: Bachelor's degree and 8 years of experience, or equivalent combination of...
Title: Director, Regulatory Services Management at FINRA H1:... as Director, Regulatory Services Management H2: Lead Key... Reporting for Regulatory Services Management at FINRA - Act... as Centralized Resource for Regulatory Operations on CMRWG and ISG Matters - Execute...
Strong project management skills. Ability... to multi-task and prioritize effectively in a fast-paced environment. High level of integrity and professionalism. Strong attention to detail. Willingness to learn and take on...
Friendly Job Title: Tax Senior Manager - Private Equity (East Region City Locations) H1: Join Our Team as a Senior Tax Manager for Private Equity Clients! H2: Exciting Opportunity for Experienced Tax Professionals in 26 Locations! Position Summary: -...
President, Corporate Financing - Lead the Corporate Financing Department within the Offices of the Chief Legal Officer (OCLO) at **MEMBERS ONLY**SIGN UP NOW***. Locations: Rockville, MD Jersey City, NJ Dallas, TX Chicago, IL Boston, MA Boca Raton,...
Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
law firm located in Boca Raton is seeking a Patent Attorney with 3-5 years of experience in drafting patent applications. The ideal candidate must be eligible to be registered to practice before the U.S. Patent and Trademark Office (USPTO). Bilingual...
Trust Advisor - Wealth Management H1: Join Our Team... Trust Advisor in Wealth Management H2: Essential Duties and... Trust Advisor in Wealth Management Bold Headlines: -... Senior Trust Advisor position available in 2 locations - Category: Wealth, Brokerage, and...