This job ad has been posted over 90 days ago...

0

applicants

Reports to the Deputy General Counsel, Operations. Provides broker-dealer regulatory counseling to various business groups within company. Responsible for advising the retail business as to all client facing and distribution practices, from “know your customer” suitability, anti-money laundering, client agreements, print and website disclosures, and advertising. Conduct internal investigations and represent the firm and its employees. Review and advise on: regulatory issues, disclosures, supervisory procedures, legal business analysis, product offerings (including insurance products), litigation, mergers and acquisitions, risk/liability issues and regulatory inquiries and investigations.

In-House Counsel Jobs, in-house jobs, law jobs, legal jobs, law careers, in-house legal jobs, lawyer jobs, attorney jobs, general counsel jobs, JDHUNTR, litigation, corporate counsel, chief legal counsel

« Go back to category
Is this job ad fake? Report it!   
Recommend to a friend

Published at 23-08-2015
Viewed: 1414 times