Broker-Dealer Associate or Counsel minimum 5 years experience

Posted 7 months ago

Broker-Dealer Associate or Counsel minimum 5 years experience –
Broker-Dealer formation; Advise broker-dealers and investment advisers on regulatory, compliance, enforcements, and examination issues related to federal and state securities laws as well as, rules of various self-regulatory organizations, including FINRA. Counsel candidates, must have minimum portables of $300K. Salary, commensurate with experience.

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Job CategoryBroker-Dealer Associate or Counsel

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