Financial Services legal and compliance questions handled quickly and efficiently
I'm a professional with 20 years of financial services compliance experience, handling everything from starting up a business, registered that business with the appropriate regulator(s), building a compliance and legal program from the ground up and handling day to day and even unusual compliance and legal problems.
Experience with equity, fixed income, alternative investments, hedge funds, broker-dealer, investment adviser, bank, SEC, FINRA, Fed and other regulatory issues. Licensed to practice law in NY.
Work Terms
M-F, flexible hours available. Payment upon completion of task.