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BackgroundEducation: Juris Doctor (JD) Required Experience: - years of experience in the financial services space, either at a law firm or preferably some broker-dealer experience. Assist with litigation and regulation advisory matters that arise at a broker-dealer.
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Analyze regional and product sales trends within participating broker-dealer firms and among individual Financial Advisors. iCapital is looking to hire an Associate or Assistant Vice President to join the Mid-Atlantic U.S. region of the Structured Investment Distribution team.
$150,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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About The Role The Assistant General Counsel will handle a wide-array of legal issues and regulatory inquiries of Group Retirement’s dually registered broker-dealer and registered investment adviser (the “Firm.
$200,000 - $260,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Experience in broker-dealer matters, including knowledge of federal and state securities laws and regulations, including FINRA rules. As the Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel on the Wealth Management Legal team, you will provide critical analysis and discussion of wealth management-specific regulatory issues, ongoing support of investment products distribution issues, and the creation, review, and general support of relevant transactional and regulatory documents.
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Familiarity with the legal and regulatory frameworks governing financial products and services in the United States would be a strong advantage, e.g., broker-dealer regulations and privacy regulations.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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Previous experience in controllership function at a broker dealer, clearing firm, or financial services industry company. The ideal candidate will have previous experience as either a controller / assistant controller or as a legal entity, product or regulatory controller at a financial services entity.
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Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
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Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
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The New York Life Office of General Counsel is seeking a strategic and practical retail broker-dealer attorney to join the legal team supporting New York Life’s Wealth Management division, consisting of NYLIFE Securities, a registered introducing broker-dealer, and Eagle Strategies, a registered retail investment adviser, both wholly-owned subsidiaries of New York Life Insurance Company.
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Broker Dealer client is looking to hire an Assistant Controller to their team. 7+ years Accounting/Audit/Tax experience out of Financial Services (Broker Dealer, Private Equity etc.
$140,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvote
Wealth Management, Financial Products And Regulatory Attorney - Vice President, Assistant General Co
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Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. By joining the US Wealth Management Legal Department and supporting its associated functions, you will be a valued contributor, driving product development and providing valuable regulatory insight.
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SoFi is seeking an attorney with a strong background in financial regulatory experience, with a focus on broker-dealer regulatory issues, to serve as Senior Assistant General Counsel.
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5-8 years of experience, preferably with both broker dealer and registered investment advisor experience. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors.
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Securities are offered through Raymond James Financial Services, Inc. member FINRA/SIPC. Investment Advisory Services are offered through Raymond James Financial Services Advisors, Inc. Aspire Wealth Group is not a registered broker/dealer and is independent of Raymond James Financial Services.
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