Associate General Counsel Enforcement

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Associate General Counsel – Enforcement
Responsibilities: Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Working with outside counsel in managing larger enforcement matters brought by the firm’s regulators. Identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations. Drafting agreements, disclosures, account documentation and website materials. Crafting written instructions for programmers and technology staff to respond to new regulations or to launch new business lines.

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