- Unknown (Philadelphia, PA)
- Associate General Counsel , Broker -Dealer Regulatory Compliance About the Company Reputable financial services organization Industry Financial Services ... Privately Held About the Role The Company is in search of an Associate General Counsel with a focus on Broker -Dealer Regulatory Compliance to join its… more
- Citizens (New York, NY)
- …is looking for an experienced growth-minded and problem-solving attorney to serve as Associate General Counsel supporting the Wealth Management Division of ... the Citizens Consumer Bank. The Associate General Counsel will report...the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and… more
- Coinbase (Trenton, NJ)
- …are looking for a highly motivated, entrepreneurial, and experienced attorney to serve as Associate General Counsel to lead key initiatives supporting the ... and manage regulatory compliance and risk management for all broker -dealer activities, ensuring adherence to SEC and FINRA rules....to SEC and FINRA rules. * Provide expert legal counsel on complex issues related to the Securities Exchange… more
- USTA (New York, NY)
- …and maintain Continuing Legal Education and attorney registrations for Deputy Chief Legal Officer and Associate General Counsel to USTA and General ... paralegal support for Deputy Chief Legal Officer and Association General Counsel to USTA and General...corporations, including interaction with the business units and the broker to complete the annual applications. + Administer and… more
