Seeking Director & Sr. Counsel for Broker-Dealer Regulation role in Stamford, CT. Provide legal guidance on securities laws, lead compliance efforts, and develop supervisory procedures. Salary: $214,000 - $300,000 per year. Full-time position. Apply ...
Seeking a FINRA-registered Securities principal (Series 24) as an Agency Supervisory Officer for broker-dealer compliance. Responsibilities include conducting branch inspections, overseeing regulatory interactions, and ensuring regulatory compliance....
Seeking an Associate Attorney with 1-5 years of litigation experience to join our Boulder, CO office. Admitted to CO Bar with exceptional writing and analytical skills. Prior securities experience preferred. Join a dynamic legal team at Winget, Spada...
As the key liaison, lead the Business Continuity Program for FINRA, driving risk assessments, plan development, and resilience strategies. Direct BCP efforts, ensuring compliance and collaborating with stakeholders. Train partners, align with tech, a...
Seeking Assistant General Counsel for litigation, remote position in Longmont, CO. Handle diverse cases including patents, trademarks, contracts, antitrust, and more. Lead complex matters, devise strategies aligned with business objectives. Full-time...
Dream Exchange seeks a Business Analyst to compile crucial info for their innovative stock exchange. Responsibilities include gathering requirements, ensuring organization, and collaborating with teams. Skills needed: communication, regulatory knowle...
Join the Marriott legal team supporting corporate transactions, SEC reporting, governance, and more. Key tasks include managing SEC filings, investor relations, compliance programs, and M&A transactions. Ideal candidates hold a law degree, Bar member...
Join us at Wolters Kluwer, a top-tier global provider of professional information services. As a Specialized Consultant II, you'll research, analyze, and translate complex legal requirements into innovative solutions for our banking products. Contrib...
Manage fund documentation, securities transactions, due diligence, regulatory compliance, and client relationships. Lead in fund formation, governance, and transactions. Need 7+ years in securities law and bar admission.
Join the Missouri Securities Division team as Enforcement Counsel to combat investment fraud and misconduct. Advise investigators, lead litigation, engage with violators, and collaborate with regulators. Build a rewarding career protecting investors ...
