Experience
10 yrs required
Location
Atlanta, GA, United States
Posted on
Sep 24, 2020
Profile
Senior Counsel, Regulatory Attorney
The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with Reg BI and FINRA Rules and their applications to broker-dealers. Draft and review responses to regulatory examinations. Legal review of disclosure documents, sales and marketing materials. Draft and/or review supervisory procedures and compliance policies and procedures. All other duties as assigned.
Company info
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