Regulatory Broker Dealer Securities Attorney Jobs in Phoenix

... with the corporate governance and securities law requirements of the Company’s ... needs of the Company’s registered broker-dealer, including drafting and negotiating sales ... marketing material, and assisting with..

Senior Counsel, Regulatory Attorney Responsibilities: Advise on securities laws, most particularly relating to ... laws, most particularly relating to broker-dealers; Familiarity with Reg BI and ... Rules and their applications..

... 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..

... administration agreements, employer services agreements, agent/broker compensation agreements, non-disclosure agreements, business-specific ... Compliance team to respond to regulatory and consumer complaints, and to ... analysis of state and federal..