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Full-time 15872 Counsel, Assistant General Counsel, Securities

at JDHUNTR In House Jobs in New York, NY

A Fortune 100 life insurer with retail brokerage and investment advisory subsidiaries and over 10,000 financial advisors seeks a lawyer to provide advice on securities and insurance distribution issues. Advising on applicable state, federal and self-regulatory organization rules and regulations relating to the distribution of securities and traditional insurance products and the provision of investment advisory and financial planning services. Advising on legal and regulatory issues relating to hiring, supervising, compensating, and terminating agents, registered representatives and investment advisory representatives, including investigations of alleged misconduct.

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Published at 18-08-2015
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