Regulatory Broker Dealer Securities Attorney Jobs in Missouri

... in-house counsel for bank or broker-dealer; or attorney for financial industry regulatory agency. Experience working with state ... Reg E, margin loans and securities-based lending, electronic money movement/NACHA, broker-dealer..

ED - Senior Counsel-Regulatory Advisory Responsibilities: Preparing memoranda and ... memoranda and written analysis of regulatory requirements with advice tailored to ... tailored to the Bank. Monitoring regulatory developments and..

Investment Management and Securities Associate Attorney The candidate will be providing ... and advisers, hedge funds, and broker-dealers including regulatory/compliance matters, investment vehicles and industry ... identifying, and advising clients..

Enforcement Counsel/Senior Enforcement Counsel The candidate will collaborate with investigative staff, providing guidance and legal advice. Assess evidence and recommendations from investigators, research and identify the legal requirements for charges and ..

... 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..

... Section. Keep current with legal, regulatory and industry developments and changes ... industry developments and changes in securities laws affecting broker-dealers and investment advisers and their ... advise on..