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Sr. Attorney, Broker-Dealer/Securities Compliance
Job Purpose The Sr. Attorney, Regulatory Affairs provides advice to internal departments on general and complex legal issues with a focus on regulatory changes within securities laws. The Sr. Attorney is responsible for developing and implementing regulatory change items, coordinating legal and compliance efforts as requested, and supporting the Associate General Counsel, Regulatory Affairs. Essential Responsibilities Conduct general and complex legal research and advise on a variety of topics, including but not limited to federal securities laws, state insurance, and the financial industry regulatory landscape.
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