- JPMorgan Chase (New York, NY)
- …valuable regulatory insight. As a Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth ... organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state securities… more
- Morgan Stanley (Purchase, NY)
- …firm and/or in-house, preferably with a financial services firm (including a broker - dealer , bank, investment advisory firm, or insurance company). > Experience ... regulations relating to annuities and insurance products. > Experience with broker - dealer /FINRA matters. Skills desired: > Professional maturity, confidence,… more
- Bank of America (New York, NY)
- …us! Experienced attorney to support the retail sales and trading broker - dealer activities of Merrill Lynch's Global Wealth and Investments Solutions group. ... **Job Description:** + Providing primary legal support to Merrill's broker - dealer equities sales and trading business. +...and best execution matters. + Advising the business on regulatory matters pertaining to the above. + Participating in… more
- BlackRock (Philadelphia, PA)
- … regulatory reform and asset management services. Additionally, the attorney will support BlackRock's institutional separate accounts business assisting in the ... **About this role** Seeking an attorney who will support BlackRock's US registered fund... issues are required. Experience with technology platforms and broker - dealer regulations is encouraged but not required.… more
- City National Bank (El Segundo, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... routine correspondence, reports and other documents as directed by assigned attorney . Proofreads documents for typographical errors. + Utilizes word processing… more
- Morgan Stanley (New York, NY)
- …risks. Minimum of 4 years relevant experience including US securities laws or regulatory experience. Experience with broker - dealer rules (including for ... Research in providing legal advice to the Global Research Department Specifically, the attorney will focus on providing legal coverage globally to the equity, fixed… more
- Liberty Bank (Middletown, CT)
- …all functions involved in closing and funding residential conventional, government and broker loans, home equity loans & lines. Ensures compliance with all ... of loan closings. + Interact with Liberty Bank's closing attorney for Borrower in order to obtain all accurate...documentation to ensure its compliance with Bank, investor, and regulatory guidelines for all first mortgages offered by the… more
- CIBC (New York, NY)
- …the Securities Act, the Exchange Act, FINRA and CFTC rules and regulations, broker - dealer regulations, and Dodd-Frank Title VII provisions as applied to swaps ... connection with various equity finance, derivatives, and other transactions; providing regulatory advice in respect of requirements under applicable US laws;… more
- State of Colorado (Denver, CO)
- …by the Division's examination section in the course of their broker - dealer and/or other examinations. Minimum Qualifications, Substitutions, Conditions of ... CO Job Type Full Time Job Number SLA-8541-4/24 Department Department of Regulatory Agencies Division Division of Securities Opening Date 04/24/2024 Closing Date… more
- JPMorgan Chase (New York, NY)
- …and services in the United States would be a strong advantage, eg, broker - dealer regulations and privacy regulations. + Creative problem-solving skills; an ... business and corporate staff areas, which encourages collaboration on legal, regulatory and business developments as they arise. **Job Description** JPMorgan's Legal… more