Investment Adviser Regulatory Counsel Jobs in Florida

Institutional Sales and Business Development Professional Duties: Developing and executing an annual sales plan for the fiduciary services practices in North America, including business priorities, growth targets, referral network, intellectual capital, ..

Institutional Sales and Business Development Professional Duties: Developing and executing an annual sales plan for the fiduciary services practices in North America, including business priorities, growth targets, referral network, intellectual capital, ..

Financial Services Regulatory Associate The candidate should have 3-5 years of financial services regulatory experience in the areas of state insurance laws and regulation, with a focus on insurance company operations, ..

Assistant General Counsel, Regulatory The candidate will counsel stakeholders on a broad range ... on a broad range of regulatory issues impacting our banking and ... Regulation E, UDAAP, FDCPA,..

... of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of ... of 1934. Prepare drafts of regulatory documents for various..

... Partner with internal stakeholders, including investment, finance and administration, tax, compliance ... Manage external U.S. and non-U.S. counsel on a cost-effective basis. Should ... level of experience in other..

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 ..

... Industry Capital Markets Capital Markets Investment Advisers Private Placements Public Company ... Privacy Cybersecurity & Data Privacy Regulatory Compliance Education Industry Education Industry ... Banking & Financial Services Bank..