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Review and negotiate client engagement terms. Joining our team means embracing a collaborative environment and being open to learning various aspects of the Conflicts & Risk Management Attorney role.
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By adhering to these behaviors, we uphold our core values of client-first, integrity, independence, and a conservative, long-term view. - Interface with division leadership to address supervisory concerns and resolve conflicts.
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As a Conflicts & Risk Management Attorney, you will play a crucial role in analyzing and resolving legal and ethical conflicts of interest with accuracy and timeliness. - Assess conflicts of interest for lateral hires.
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Solid understanding of investments, trading, securities industry regulations, and client suitability. We work closely with business units to manage activity/account reviews, product oversight, and governance, guided by specialized knowledge and a dedication to client-first values.
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Our areas of expertise encompass litigation, regulatory counsel, and strategic transactions across various industries, including finance, healthcare, entertainment, technology, and more. We are a global law firm committed to building meaningful relationships and delivering exceptional legal services.
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Assist in vendor contract review and negotiation. Analyze conflict reports and draft detailed analyses to facilitate conflict resolution. Working Conditions: Remote work environment. Your responsibilities will involve evaluating new business opportunities, conducting thorough research, and facilitating conflict resolution in collaboration with our team.
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This part-time role (20 hours per week) offers flexibility and the opportunity to work remotely. With our headquarters based in St. Petersburg, FL, we offer a range of services including investment and financial planning, capital markets, and asset management.
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We offer a challenging yet rewarding work environment, a competitive salary, flexible benefits program, tuition assistance, and a generous 401(k) plan. We are currently seeking a talented individual to join our team in a non-traditional legal role within our Business Intake Group.
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Series 66 can be obtained instead of 63/65. Series 7, 24, and 65, 63 required. We make employment decisions based on merit and business needs, regardless of race, gender, age, sexual orientation, or any other protected characteristic.
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Education: JD and Bar Admission required. Support the Director of Business Intake in related matters. Proficiency in PC and Windows applications; knowledge of Intapp Risk applications is a plus. Strong analytical skills with the ability to organize and prioritize workload effectively.
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Our Supervision department is committed to proactively mitigating risk and ensuring compliance with regulatory expectations and firm policies. As part of our Communications Review Team, you will play a pivotal role in administering and analyzing various communication reviews and content to ensure compliance with regulatory expectations and firm policies.
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Maintain updated procedures for the Business Intake Group. Conduct electronic research on legal issues, corporate affiliations, and other relevant data. Experience: Practice experience or conflict analysis experience preferred but not required.
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Strong critical thinking and decision-making skills, with attention to detail. Conduct supervision review of communications using various reports and systems. We are a leading financial services company dedicated to providing comprehensive solutions to individuals, corporations, and municipalities.
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Bachelor's degree in a related discipline and a minimum of two years of experience in Supervision and/or the financial services industry preferred. Proficiency in operating standard office equipment and using software applications.
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Stay informed about regulations regarding communications and ensure compliance. Salary Range: $70,000 - $80,000 (based on Education, Work Experience, and Geographic Location). Join us in building a brighter future for our associates, clients, and communities.
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