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Senior Counsel, Regulatory Attorney The candidate will 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 ..
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Legal Analyst The candidate will be ... key member of the Corporate Secretary team, who leads governance-related projects ... review and evaluation of ongoing legal issues. Will draft, review and..
Description The CCM Compliance Professional 2 ensures compliance with governmental and contractual requirements. The CCM Compliance Professional 2 work assignments are varied and frequently require interpretation and independent determination of the ..
Compliance Specialist Duties: Participates in the administration and oversight of compliance programs for all jurisdictions and product lines written by CopperPoint. Works with the CCO, VP Compliance, and Compliance Oversight Committee ..