Posted On
Aug 20, 26
Full-time
10 views
Experience : Min 5 yrs required
Job Title: Regulatory Attorney, AVP Job Responsibilities: - Support senior members of Compliance and Legal teams on compliance and regulatory matters arising from the SEC, CFTC, and DOL (ERISA), and ensure compliance with federal, state, and international securities laws, including the Investment Advisers Act of 1940, the Securities Act of 1933, and the Exchange Act of 1934. - Devise, initiate, maintain, and revise compliance and regulatory policies, procedures, controls, an
