of legal matters within the Wealth Management business. This includes providing legal support to broker/dealer field personnel, which encompasses... call center staff, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office employees. Key responsibilities include: - Conductin...
Title: Regulatory Attorney Job Responsibilities: The Regulatory Attorney at the company is responsible for providing legal and regulatory support to the Wealth Management business, focusing on retail equities, options, and futures trading. Key responsibilities include: - Providing legal and regulatory advice to the...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including preparation of...
Title: Director, Legal Counsel- Alternative Investment Platforms Job Responsibilities: - Provide legal advice related to strategic and growth initiatives concerning the alternative investment platforms. - Draft and negotiate intermediary agreements with third-party alternative investment providers and issuers. - Offer legal guidance...
Title: Paralegal Job Responsibilities: As a Paralegal in the Trading, Marketing, and Operations Legal Group at the company, you will provide essential legal support related to contracts for exchange-traded funds and mutual fund product platforms. Your responsibilities will include assisting in the...