Broker Dealer Attorney Jobs in Phoenix

Associate General Counsel Duties: Assisting with the corporate governance and securities law requirements of the Company’s managed funds, with an emphasis on its externally-managed public, non-traded REITs. Supporting credit investments, financing ..

Senior Counsel, Regulatory Attorney Responsibilities: Advise on securities laws, most particularly relating to broker-dealers; Familiarity with Reg BI and FINRA Rules and their applications to broker-dealers; Draft and review responses to ..

Vice President, Corporate Counsel, Retail Advice and Solutions The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will address full range of ..

Associate Counsel - Wealth Solutions The candidate will be partner with the division’s Distribution, Product and Operations teams to draft, negotiate, and manage both routine and moderately complex transactions, including RFP ..

Job OverviewA law firm seeks a transactional associate with at least three years of experience or a senior counsel with at least eight years of experience to join the investment management ..

Underwriting Director, Transactional Risk Duties: Review and respond to insurance submissions based on underwriting guidelines and an analysis of financial statements, marketing materials and other relevant information. Assess the degree of ..

Senior Manager, First Line Risk Management Office, Governance The candidate will understand and opine on the process of creation, review, update, and implementation of disclosures, such as research, product, bank, account ..

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, ..