- Fidelity TalentSource LLC (Smithfield, RI)
- …alternatives marketplacesExperience handling private offering advertising and performance issues under FINRA rules, the Investment Advisers Act of 1940 and the ... and state blue sky issues The Purpose of Your Role You will provide counsel to the private wealth management and institutional distribution arm for Fidelity s… more
- 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 ... you will provide critical analysis and discussion of wealth management-specific regulatory issues, ongoing support of investment products distribution issues, and… more
- Wells Fargo (Charlotte, NC)
- …legal, and regulatory changes + Provide guidance to less experienced counsel or paralegals + Develop the strategic direction for certain claims functions and ... of collaboration + Ability to analyze employment law and regulatory issues and provide effective advice to clients on...guidance regarding complex employment law issues + Experience with FINRA matters, including providing counsel and guidance… more
- Wells Fargo (San Francisco, CA)
- … and guidance regarding complex employment law issues + Experience with FINRA matters, including providing counsel and guidance regarding complex employment ... **About this role:** Wells Fargo is seeking a Senior Counsel to join the Employment Counseling & Litigation Section...administrative proceedings + Ability to analyze employment law and regulatory issues and provide effective advice to clients on… more
- CIBC (New York, NY)
- …Doing** As a member of the US Capital Markets Legal team in New York, Counsel - US Equity Finance, you will provide transactional and advisory legal services to ... connection with various equity finance, derivatives, and other transactions; providing regulatory advice in respect of requirements under applicable US laws;… more
- Randstad US (Malvern, PA)
- …+ Coordinate and collaborate with subject matter experts within the Office of the General Counsel to seek input on SEC and FINRA compliance, IT, Privacy, HR, ... assistant general counsel - procurement contracts. + malvern , pennsylvania...Litigation, and International Legal requirements to determine legal and regulatory requirements that impact Vanguard's commercial contracts. + Develop… more
- Scotiabank (New York, NY)
- …Consolidated Audit Trail (CAT) requirements, etc. + Experience responding to FINRA regulatory inquiries and examination requests/findings. + Experience ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers. Provides subject matter expertise with respect to succession strategies, FINRA 2040b, team enhanced compensation and catastrophic planning to develop a ... plan for clients. * Educate financial advisors on succession strategies, FINRA regulation, exit strategies, practice valuation and payment options. * Consult… more
- Morgan Stanley (Purchase, NY)
- …Act of 1934, and Securities Act of 1933, rules of the Financial Industry Regulatory Authority ( FINRA ), and a variety of state laws governing standards of ... along with counterparties at external financial services firms and outside counsel . Primary Responsibilities: The following is an illustrative, non-exhaustive list… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; ... Officer, Chief Administration Officer, Director of Business Development, Chief Counsel , Chief Information Security and Privacy Officer, Chief Compliance Officer,… more
- USAA (Phoenix, AZ)
- …acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements. We offer a flexible work environment that requires ... principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for… more
- Citigroup (New York, NY)
- …and help the business plan for changes in the compliance and regulatory environment. + Providing counsel to ICRM and function/business/product management ... and compliance monitoring programs, identify reporting metrics associated with regulatory compliance program execution and develop corrective action plans to… more
- Randstad US (Malvern, PA)
- …+ Coordinate and collaborate with subject matter experts within the Office of the General Counsel to seek input on SEC and FINRA compliance, IT, Privacy, HR, ... products or services from such vendors, and negotiate directly with vendor counsel . + Advise internal business and procurement groups on third-party vendor… more
- Truist (Richmond, VA)
- …Juris Doctorate or other advanced degree + Demonstrated experience and knowledge of FINRA , SEC, and MSRB rules, regulatory agencies, requirements, and/or ... reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. ** LOCATION :** Candidate must be located in one of the posted locations:… more
- First Horizon Bank (Jackson, TN)
- **Description** ** Location ** : On site at location listed in job posting. **Summary** The Wealth Management Client Coordinator will be actively involved in ... relevant executed documentation from clients and in compliance with regulatory procedures * Serves as a liaison between the...skills. General banking and operations experience is helpful 6. FINRA Licenses 7 & 66 preferred 7. Appropriate State… more
- First Horizon Bank (Knoxville, TN)
- **Description** ** Location ** : On site at location listed in job posting. **Summary** The Wealth Management Sales Specialist will be actively involved in ... to retrieving relevant executed documentation from clients and in compliance with regulatory procedures * Reviews client account activity on a daily, weekly, and… more
- Citigroup (New York, NY)
- …Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts ... in support of strategic business objectives. + Accountable for monitoring regulatory developments for changes in regulation and interpretive guidance. + **Key… more
- Citigroup (O'Fallon, MO)
- …in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and ... engagement with clients- High touch, face-to-face meetings at client's preferred location , consistent communication, access to seminars, etc. + Master referral… more
- Citigroup (O'Fallon, MO)
- …in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and ... leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML...team player able to work without direction + Required FINRA licenses Series 6, 65 and 63 (candidates with… more
