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Financial Industry Regulatory Authority Jobs in Richfield

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United States
Posted On Sep 28, 26
Full-time 1 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

and other investment vehicles, including certain funds registered under the Investment Company Act of 1940. - Provide legal support on matters arising under the Investment Advisers Act of 1940, including governance, fiduciary obligations, disclosures, conflicts of interest, regulatory filings, SEC examin...

Posted On Sep 21, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension Privacy spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension Privacy spouse title

Strategist III Position Overview At the company, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive...

Posted On Sep 21, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

implement tax, estate, and financial plans for clients, including... acquiring new clients. - Retain, expand, and deepen existing client relationships. - Conduct and review research, develop tax, estate, and financial analyses and plans. - Make... generally accepted recommendations to the team and pot...

Posted On Aug 24, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Nonprofit / Charities Law
Job Tags:
ADA Americans with Disabilities Act entertainment equity finance Gaming Law government affairs marketing
Practice Area:
Nonprofit / Charities Law
Job Tags:
ADA Americans with Disabilities Act entertainment equity finance Gaming Law government affairs marketing

Title Senior Compliance Counsel Job Responsibilities - Design, implement, and enhance a charitable gaming compliance program that covers all technical and operational requirements at the manufacturer and distributor level. - Develop and maintain compliance policies, procedures, and internal controls in...

Posted On Jul 07, 26
Full-time 4 views Experience : 10-15 yrs required
Practice Area:
Nonprofit / Charities Law
Job Tags:
agreements bylaws corporate compliance corporate governance due diligence family Insurance Litigation regulatory compliance Whistleblower
Practice Area:
Nonprofit / Charities Law
Job Tags:
agreements bylaws corporate compliance corporate governance due diligence family Insurance Litigation regulatory compliance Whistleblower

matters, corporate governance, and regulatory compliance for DAFgiving360. - Involvement... in business activities and decisions to ensure compliance with applicable laws and best practices. - Lead and manage a small team responsible for contract management, charity due diligence, grant agreements, and other...

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