Regulatory Broker Dealer Securities Attorney Jobs

... new or amended legal and regulatory requirements as they relate to ... they relate to the Retail Broker Dealer. Responsible for review and challenge ... with current applicable banking..

... new or amended legal and regulatory requirements as they relate to ... they relate to the Retail Broker Dealer. Responsible for review and challenge ... with current applicable banking..

... legal support to the institutional broker-dealer businesses of Huntington Capital Markets ... rules and regulations, including the Securities Exchange Act of 1934 and ... rules of the Financial Industry..

... clients-primarily registered investment advisers and broker-dealers-through the evolving landscape of regulatory compliance, governance, and risk management. ... group, delivering expert-level insight into regulatory frameworks while contributing to the .....