Attorney Jobs-JDHUNTR- Director, Associate General Counsel, Broker-Dealer, Arlington, VA

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In-House Counsel Jobs JDHUNTR
Attorney Jobs-JDHUNTR-13655 Director, Associate General Counsel, Broker-Dealer, Arlington, VA
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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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