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Senior Legal and Compliance Professional - Securities Law & Regulatory Compliance
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The role
Legal and Compliance Professional:
Provide strategic legal counsel, support regulatory compliance, and ensure alignment with SEC, FINRA, and applicable regulations.
4-6 years of experience in investment management or asset management, J.D. degree, and active license.
Familiarity with advisory products, securities
Provide strategic legal counsel, support regulatory compliance, and ensure alignment with SEC, FINRA, and applicable regulations.
4-6 years of experience in investment management or asset management, J.D. degree, and active license.
Familiarity with advisory products, securities
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