Description: Well-regarded dual U.S. Registered Investment Adviser and Broker-Dealer is seeking an experienced attorney to advise its wealth management business on Investment Adviser Act and Broker-Dealer regulatory and compliance issues. The position reports to the General Counsel...The Attorney should have 10+ years of broad Investment Adviser Act and Broker-Dealer regulatory experience including, advising on retail brokerage, separate accounts, wrap fee accounts, ...
BigAppleHelpWanted.com - 17 months ago
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