Regulatory Broker Dealer Securities Attorney Jobs in California

... by that group, including to securities and corporate finance transactions and ... policies necessary to comply with securities and derivatives laws and regulations, ... well as other financial institution..

Senior Counsel-BTLU-Investment Transactions Duties: Reporting to the Deputy General Counsel, Business Transactions and Land Use, handles a broad range of corporate transactional and investment matters. structuring, documenting and negotiating legal matters ..

Regulatory Counsel The candidate will Provide ... candidate will Provide legal and regulatory advice on our products to ... and business partners on the Securities Act, Exchange Act, Investment Advisers..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

Regulatory and Securities Attorney (Hybrid/Remote) The candidate will provide ... servicing clients, including investment advisers, broker-dealers, private fund advisers, investment companies, ... assisting with mergers and acquisitions, regulatory exams, and..

Regulatory and Securities Attorney The candidate will provide advice ... servicing clients, including investment advisers, broker-dealers, private fund advisers, investment companies, ... assisting with mergers and acquisitions, regulatory exams, and..

... but not limited to: Handling regulatory matters; Assisting with product development ... and procedures that meet applicable regulatory requirements; Testing the operative effectiveness ... of business and operations teams,..

Paralegal The candidate should have 5+ years of law firm experience as a securities paralegal (preferably Investment Adviser, Private Fund, or Broker-Dealer). Perform regulatory filings and research, as directed by counsel. ..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

Senior Corporate & Securities AttorneyLocation: San Diego, CA (Remote ... is seeking a seasoned Senior Attorney to enhance its corporate, regulatory, and securities law practice. The role requires ... and..

... business leaders. Providing legal and regulatory advice and counsel to the ... and counsel to the retail broker-dealer with a concentration on investments, ... Representing and counseling insurers and..

Regulatory and Securities Attorney (Hybrid/Remote) The candidate will provide ... servicing clients, including investment advisers, broker-dealers, private fund advisers, investment companies, ... assisting with mergers and acquisitions, regulatory exams, and..

Privacy and Regulatory Counsel The candidate will creatively ... view of relevant legal and regulatory requirements and risks. Analyze and ... advisory industries, including: (1) the Securities Act of 1933,..

... Diego office of a BCG Attorney Search Top Ranked Law Firm ... Top Ranked Law Firm seeks regulatory and securities attorney with 5+ years of securities law experience in..