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Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and Financial ..
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Join us as we pursue our disruptive vision to make data accessible, usable and valuable to everyone. We are a company filled with people who are passionate about our product and ..
Senior Principal Investigator, Specialist Team The candidate conducts advanced high complexity routine and special investigations of member firms. Investigates potentially suspicious activities of persons associated with member firms. Provides guidance to ..
Principal Investigator, National Cause Program The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the ..
Senior Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides ..
Senior Compliance Manager, Mutual Funds The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance, reputational and operational risk. Performing desk-based compliance and ..
Tax Credit Attorney The candidate should have 5-7 years of experience. Experience with new markets tax credits is required. An outgoing self-starter who can quickly take a lead role in the ..
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 ..
Litigation Director (Non-Disciplinary) - Enforcement The candidate will manage a team of dedicated litigation attorneys and other staff, and, as necessary, litigates non-disciplinary and disciplinary proceedings as first or second chair. ..
Senior Counsel The candidate will provide expert legal and policy advice to Enforcement management and staff in support of Enforcement Department objectives to foster transparency and predictability in the Department's regulatory ..
Job OverviewA law firm seeks a highly experienced transactional attorney to join its Public Finance practice, focusing on health care finance. This role is open to candidates in various U.S. locations, ..
Associate Principal Investigator, National Cause Programs The candidate conducts extensive background searches of the organization's member firms and registered representatives in support of open the organization's investigations in the NCP. Provides ..
Principal Investigator, Sales Practice The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course ..
Early Careers: Associate Account Executive (AAE) / Associate Broker Looking to launch your career in Risk or Reinsurance? Do you enjoy building relationships with clients and colleagues, gathering and interpreting data, ..