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Assistant General Counsel, Compliance The candidate will be responsible ... creation and implementation of company’s Compliance Program, to include development of ... evolves, which may including enterprise compliance, risk assessment..
... Preparation of and management of broker Powers of Attorneys. Supporting litigation ... bi-annual process for legal entity compliance for SSA companies. Maintain the ... completions), Editing and publishing USG..
... law enforcement officials, financial institution compliance officers, and more. As an ... laundering and sanctions detection and compliance programs for clients around the ... and delivering training modules Conducting..
... (Forms 3, 4 and 5). Compliance with Rule 144. Director and ... with Rule 144. Director and Officer Questionnaires. Executive compensation disclosure issues. ... Private placement of securities in..
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 ..