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Securities Compliance Attorney
Refer job# DTBN137459
 
Securities Compliance Attorney The candidate will review legislation, ensure proper implementation of procedures in accordance with applicable securities laws and regulations, independently perform research on various compliance and legal issues, conduct testing of the firm s compliance with its policies and procedures, and assist with securities regulatory inquiries and examinations. Must have Juris Doctor degree. Should have excellent analytical, research, and writing skills. Excellent interpersonal relationship skills is needed. Series 7, 24 and 65/66 securities licenses (or obtained within 90 days of hire) is must.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 

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