Regulatory Compliance Legal Secretary Jobs in Maryland

... integral part of the Company’s legal team, working closely with external ... Provides timely, sound and practical legal advice, counseling, and documentation while ... and documentation while supporting corporate..

... and nature of each organization Regulatory Department's specific regulatory programs. Serve as source of ... senior managers of all organization Regulatory Departments regarding organization's Conflicts of ... in evaluating..

Analyst, Corporate Finance The candidate reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases which have been identified as potential ..

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 ..

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 ..

Wealth Management Compliance Policies And Training Officer The ... business. Developing and drafting of Compliance policies and procedures through collaboration ... collaboration with the business, Risk, Legal, Compliance, and other..