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13655 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,. After registering you may be able to apply for this job directly (if still active) on ((None))'s site. Future job matches may be sent from Geebo approved job partners.
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