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.

Don't Be Fooled

The fraudster will send a check to the victim who has accepted a job. The check can be for multiple reasons such as signing bonus, supplies, etc. The victim will be instructed to deposit the check and use the money for any of these reasons and then instructed to send the remaining funds to the fraudster. The check will bounce and the victim is left responsible.