Job Description
General Counsel Jobs JDHuntr 57643 Counsel Regulatory, New York, NY
To apply go to JDHuntr.com
*Providing legal and regulatory advice to Front Office, Back Office, and the Risk Department on both transactional and non-transactional matters. *Expertise and working knowledge of broker-dealer regulatory matters, including: Broker-dealer registration and exemptions from registration, including Rule 15a-6, FINRA requirements, SEC regulatory implementation, and *taking the lead on SEC and FINRA examination matters and response drafting for items assigned to Legal team (in conjunction with transactional legal teams for items of particular transactional impact). $200,000 - $275,000
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Employment Type: Full-Time
Salary: $ 200,000.00 275,000.00 Per Year
Job Tags
Full time,
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