Director, Associate General Counsel, Broker-Dealer

Company Name:
In House Jobs JDHUNTR
Specific areas of responsibility include: Broker-dealer and investment adviser registration. Books and records requirements, Net capital issues, Mutual fund, investment adviser, and broker-dealer advertising. Prospectus delivery, Supervision and written supervisory policies and procedures, Private placements and alternative investments, IPO and secondary offerings, New product design, testing, and launch, Best execution responsibilities, Trade reporting, Futures and foreign exchange trading.

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