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Equity Finance Attorney Responsibilities: Negotiating term margin agreements. Working on cross border transactions. Advising on securities and margin regulations. Working Broker Dealer regulatory issues. Responsible for the analysis of complex legal ..
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Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team responsible ..
SVP, Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team ..
Paralegal (Invest Group) Duties: Perform a variety of complex law-related tasks under the direction of the Invest AGC. Research legal issues involving broker-dealer and investment adviser operations and securities products. Apply ..
