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The attorney will join a team of lawyers responsible for providing legal advice to company’s affiliated broker-dealers and retail registered investment advisers, with a focus on the interpretation and application of securities laws, including FINRA rules, SEC rules and regulations, and state securities laws and regulations. Handle complex legal matters, analyze legal issues, draft legal documents, and negotiate matters using sound legal judgment under minimal supervision. Build business partner relationships with diplomacy and by providing insightful, timely, and pragmatic counsel without supervision.

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Published at 03-08-2015
Viewed: 631 times