State Bar 6-8+ years of experience handling broker-dealer regulatory and municipal securities regulatory matters Expertise... in broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934...
any contracts necessary to bring the product to life. Brokerage: Public owns its own FINRA-registered broker-dealer. You'll work... software. Bonus Points: Experience with broker-dealer or registered investment advisors. Experience working...
-Party Risk, Human Resources, Capital Markets, Nikko (broker dealer), and Corporate Services. In particular: Serving... of benefits to its employees. Role Description The Vice President - Counsel role for Sumitomo Mitsui Banking Corporation (SMBC...
Experience advising clients on data and technology matters inside the regulatory frameworks of a broker-dealer Excellent...The VP, Legal Counsel will report directly to the Managing Director and will be responsible for supporting the equity...
Experience advising clients on data and technology matters inside the regulatory frameworks of a broker-dealer Excellent...The VP, Legal Counsel will report directly to the Managing Director and will be responsible for supporting the equity...
and broker-dealer. Managing legal and regulatory risks in a thoughtful and commercially practicable manner. Own and drive legal... is headquartered in New York City. We are looking for a Legal Counsel to join our growing legal team on-site in our NYC office...
-registered broker-dealer. You'll work with Compliance to ensure that we continue to meet our SEC and FINRA obligations. You'll... including project management tools, CRM systems, and compliance software. Bonus Points: Experience with broker-dealer...
trading Serve as point person for broker-dealer and securities laws related to municipal securities (Securities Act of 1933... and broker-dealer regulations, including: Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules...
, broker-dealer regulations, Exchange Act rules and some Title VII. He or she must be comfortable with products for issuers... 5), broker-dealer regulations, Exchange Act rules (e.g., 10b5, Rule 144) and some Title VII. Excellent communications...
providing advisory support to a broker-dealer equities sales and trading business. Knowledge of relevant SEC and FINRA rules... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
providing advisory support to a broker-dealer equities sales and trading business. Knowledge of relevant SEC and FINRA rules... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
broker-dealer in the (re)insurance sector. As part of Guy Carpenter, a subsidiary of Marsh & McLennan Companies, GC Capital... party service providers on specific transactions, including legal counsel, actuarial firms, rating agencies...
Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance... D filings. Assist the broker-dealer personnel in managing the licensing process, including the Broker-Dealer's Firm Gateway...