Broker Dealer Attorney Jobs in New Jersey

Swap Dealer Compliance Officer The candidate will ... The candidate will manage swap dealer compliance program including assessing and ... swap dealing activities including Swap Dealer quarterly board meetings, among..

Operational Risk Officer – Control Testing The candidate will be responsible for: Effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of company. Liaising regularly with the Heads of ..

Vice President, Corporate Counsel, Retail Advice And Solutions The candidate will be responsible for: Providing thought leadership and support as a key member of the distribution legal team. Address full range ..

Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..

Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..

Operational Risk Officer – Control Testing The candidate will be responsible for: effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of UBS. Liaising regularly with the Heads of ..

Senior Counsel, Regulatory Attorney The candidate will report directly ... business legal advice relating to broker-dealers and dual registrants. Will work ... laws, most particularly relating to broker-dealers; Familiarity with..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..

Director Compliance The candidate will design and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS and PAD to assist in detecting and preventing violations of, and achieving compliance with, ..

Business-oriented, accomplished real estate attorney experienced in retail and office ... document review and completion process.In-House Attorney and/or equivalent work experience (i.e. ... Estate Co-Operation, Real Estate Consultant, Broker &..