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Prior experience working with financial institutions on enforcement of loan documents, foreclosure, collections, landlord/tenant matters, and civil and commercial litigation. Provide legal counsel and strategic advice to financial institutions on enforcement actions, collections, and related matters.
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1919 Investment Counsel, a wholly owned subsidiary of Stifel Financial Corporation, provides investment management and financial planning services to wealthy individuals, families, trusts, foundations, and institutions.
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The Client Service Associate must stay current on financial markets and instruments, and comply with firm policies, procedures, and Code of Ethics. The firm primarily serves high net worth clients which often require complex financial planning and advice as well as exceptional client service.
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Minimum Required: 1 to 3 years' related experience in financial services, preferably in Private Wealth Management, Portfolio Administration, or college education and internships relating to Private Wealth Management.
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Knowledge of economic and accounting principles and practices, the financial markets, the industry, the analysis and reporting of financial data, and associated terminology. Experience with FactSet, Bloomberg, InvestorTools, Advent APX, Moxy, Trust Accounting Systems and CRM technology also a plus.
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The role involves providing legal counsel to blockchain technology companies, financial institutions, and digital asset exchanges on various securities law issues, private placement agent requirements, custody rule requirements, cross-border regulatory matters, and responding to FINRA and SEC regulatory inquiries.
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The role involves providing legal counsel to blockchain technology companies, financial institutions, and digital asset exchanges, focusing on securities law issues, private placement agent requirements, custody rule requirements, cross-border regulatory challenges, and responding to FINRA and SEC regulatory inquiries.
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This role involves providing expert legal counsel to blockchain technology companies, financial institutions, and digital asset exchanges, with a focus on securities law matters, private placement agent requirements, custody rule requirements, cross-border regulatory challenges, and responses to FINRA and SEC regulatory inquiries.
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This role involves providing legal counsel to blockchain technology companies, financial institutions, and digital asset exchanges, focusing on securities law matters, private placement agent requirements, custody rule requirements, cross-border regulatory challenges, and responding to FINRA and SEC regulatory inquiries.
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Strategic Advisory: Provide strategic guidance and recommendations to financial institutions on enhancing AML and BSA frameworks, policies, and procedures. Maintain a proactive approach to identifying and addressing financial crimes risks, with a focus on protecting institutions and their stakeholders.
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Knowledge of and experience evaluating non-financial risks facing complex financial institutions and prudent practices for managing those risks, using applicable regulatory guidance as well as common frameworks, such as FFIEC, NIST, and ISO.Typically requires seven or more years of experience in non-financial risk management, preferably in the context of large banking supervision, or comparable experience in banking, financial services, or related industries (e.g., consulting.
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Be part of LPL Financial, the leading provider of investment and business solutions for independent financial advisors and institutions across the nation serving and supporting more than 21,000 financial advisors.
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Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, First Allied Securities and Summit Brokerage Services.
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Strong understanding of AML/BSA, sanctions, legal and regulatory environment for financial institutions of all sizes. This position would focus on long-term AML consent order validations at complex large and mid-sized financial institutions.
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This position would focus on long-term AML consent order validations (12+ months) at complex large and mid-sized financial institutions. Understanding of relevant banking regulations and supervisory expectations for large financial institutions.
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financial institutions jobs Title: agile coach Company: Iris Software
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