Regulatory Compliance Legal Secretary Jobs in Atlanta

Associate Attorney - RIA Compliance The candidate should have 5-7 ... and registered investment advisers: Providing compliance support and advice to BDs ... a regular basis and providing legal advice..

Senior Counsel, Regulatory Attorney The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with Reg BI and FINRA Rules and their applications to broker-dealers. Draft ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

... provides a full range of legal advice and services. The Senior ... its management by: Assisting in legal and compliance matters relating to the Board ... agreements to comply..

... corporate governance matters and ensure compliance with regulatory requirements.Assist in the preparation and ... to manage complex securities transactions.Conduct legal research and stay updated on ... background in governance..