- US Bank (New York, NY)
- … supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in particular ... as Risk, Compliance and Regulatory Services + Work with senior leadership within the business line and advises on...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… more
- Wells Fargo (New York, NY)
- …1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker - dealer compliance + Experience working with or advising ECM/DCM desks at a ... attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM) and Debt...unprecedented factors + Serve as a trusted advisor to senior business leaders and contribute to strategic decision-making. +… more