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Assistant General Counsel The candidate will provide legal support, advice and guidance globally across a broad range of practice areas with respect to the “well-founded basis” (WFB) legal standards under the ..
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 ..
... Risk Management Senior Manager - Regulatory Analytics and Reporting VP Responsibilities: ... State of Compliance; Compliance Assurance, Regulatory Control, Business Monitoring, and other ... to ensure compliance with various..
Attorney - Litigation The candidate will handle a large docket of litigation, regulatory enforcement and advisory matters. Litigate cases through arbitration or trial. Advocate and negotiate on behalf of the firm ..