- JPMorgan Chase (New York, NY)
- …advising on broker -dealer regulatory issues, cash equity trading issues and securities transactions + All candidates for roles in the Legal department must ... Group within the Corporate & Investment Bank as a Broker -Dealer & Cash Equities Attorney. As a Broker...legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority… more
- JPMorgan Chase (Columbus, OH)
- …a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide ... organization with demonstrated financial services experience. + Experience in broker -dealer and investment advisory matters, including knowledge of federal and… more
- Wells Fargo (New York, NY)
- …experienced and commercially minded attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM) and Debt Capital ... regulatory and compliance matters, including SEC, FINRA, NYSE/Nasdaq, and global securities laws and regulations. + Participate in industry efforts addressing… more
- City National Bank (Los Angeles, CA)
- …Angeles, CA. * WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting the ... Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, Assistant … more