- Coinbase (Phoenix, AZ)
- …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
- Edward Jones (Tempe, AZ)
- …advice and guidance to legal, compliance, and business colleagues involving broker -dealer rules and regulations under the federal securities laws, including the ... a subject matter expert on legal regulatory issues affecting broker -dealers and investment advisers to retail clients. Familiarity with...or legislative policy and advocacy in-house or as outside counsel . + License to practice law in Missouri or… more