Investment Company Act Attorney Jobs in West Palm Beach
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of Strategic Engagement (OSE) in providing...
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Attorney in West Palm Beach, FL
West Palm Beach, FL
Type: Full Time | Posted Date: Oct 25, 2024
SUMMARY: MEMBER - SECURITIES The candidate must possess 5 - 10 years of significant experience focused in a variety of securities matters, including securities offerings (public and private), the Securities Act of 1934 (Registered Investment Advisors), the Securities Act of 1940 (Registered Investment Compa...
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Corporate - Securities and Capital Markets Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO-Friendly Job Title: Director, Regulatory Services Management at FINRA H1: Join FINRA as Director, Regulatory Services Management H2: Lead Key Operations and Reporting Functions for RSM Bold Headlines: - Manage Operations and Reporting for Regulatory Services Management at FINRA - Ac...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Vice President, Regulatory Liaison is a high-level position within FINRA, responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. This role requires an experienced regulatory professional with significant knowledge of securities, compliance, an...