General Counsel Jobs JDHuntr 57643 Counsel Regulatory, NY

To apply go to JDHuntr.com

*Providing legal and regulatory advice to Front Office, Back Office, and the Risk Department on both transactional and non-transactional matters. *Expertise and working knowledge of broker-dealer regulatory matters, including: Broker-dealer registration and exemptions from registration, including Rule 15a-6, FINRA requirements, SEC regulatory implementation, and *taking the lead on SEC and FINRA examination matters and response drafting for items assigned to Legal team (in conjunction with transactional legal teams for items of particular transactional impact). $200,000 – $275,000

in house jobs, general counsel jobs, go in house with jdhuntr in house jobs, in house jobs California, in-house jobs CA, in house counsel jobs DC, in house counsel jobs Florida, in house counsel jobs NY, in-house legal jobs, legal jobs Los Angeles, legal jobs New York, legal jobs, law jobs, corporate counsel jobs, corporate lawyer jobs, lawyer jobs California, in-house jobs TX, in-house jobs NJ, in-house jobs IL, in-house jobs San Francisco, in-house jobs GA

This entry was posted on 08/14/2023 at 3:29 am. You can follow any responses to this entry through the RSS 2.0 feed. Responses are currently closed, but you can trackback from your own site.

Posted in Go In-House Counsel Jobs Go In-House Jobs in-house counsel jobs Law Jobs legal jobs by jdhuntr No Comments Yet