Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel is responsible for providing securities-focused legal counsel to support the registered investment adviser (RIA) and related financial services entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements,...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
Compliance Department, which serves two Broker-Dealers and a Registered Investment... Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide guidance to business units across broker-dealers and registered investment advisers. -... Working directly with registered representa...
Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Manage primary and excess claims for various policy forms, particularly focusing on Employment Practices and Third-Party Liability claims. - Develop expertise in Fiduciary Claims. - Handle and manage complex Employment Practices Liability Claims to determine...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
BSA/AML Investigator III - Special Entities The candidate investigates, researches, analyzes and evaluates account transactions that appear to be suspicious or unusual for a given business or person, including law firms, Certified Public Accountants (CPAs) and broker/dealers, within any bank LOB.... Undertakes cases that are more complex in nature that could involve multiple accounts, products and banks. Recommends whether to file the case with the Financial Crimes Enforcement... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Head of CIB Compliance Duties: Responsible for the management and ongoing enforcement of all compliance programs for the Corporate and Investment Banking (CIB) line of Business, within the Wholesale Business Segment. Ensuring that CIB complies with all regulations, rules, laws, mandates and directives applicable to its business units, the registered broker-dealer, and their respective products.... Development of a sound and safe compliance program for CIB that takes into acco... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Senior Attorney - Sales and Trading The candidate will be supporting the Sales & Trading businesses. Will provide legal support to the Sales & Trading businesses conducted by the bank’s institutional broker-dealer and swap dealer including... equities, bonds, repurchase and securities lending transactions, foreign exchange and derivatives. Other responsibilities include advice in relation to Dodd Frank Title VII Swap regulations and the Volcker Rule. Provides advice in connec... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Broker Dealer Compliance Manager The... candidate will be the Chief Compliance Officer for the Broker Dealer responsible for the... management and ongoing enforcement of all compliance programs for the Broker Dealer. Will be responsible... for ensuring that the the Broker Dealer complies with all... regulations, rules, laws, mandates and directives applicable to it. Responsible for the development of a sound and safe compliance program that takes into account all of those compliance ris... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
BSA/AML Investigator III Duties: Investigates, researches, analyzes and evaluates account transactions that appear to be suspicious or unusual for a given business or person, including but not limited to law firms, Certified Public Accountants (CPAs) and broker/dealers, within any bank LOB.... Undertakes cases that are more complex in nature that could involve multiple accounts, products and banks. Recommends whether to file the case with the Financial Crimes Enforcement Netw... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
And Volcker Rule Compliance Associate The candidate will be responsible for the implementation and administration of Swap and Volcker Rule compliance programs. Serves as a subject matter expert on compliance requirements of CFTC and SEC regulations applicable to the derivatives sales and trading functions, as well as the Volcker Rule. Responsible for analyzing current and emerging regulatory trends and proposing and implementing recommendations to mitigate regula... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Assistant General Counsel - Broker Dealer The candidate will... act a primary legal counsel for company's Investment Services (IS), an SEC/FINRA registered broker/dealer and 50-state licensed insurance... agency which actively operates in 14 states. Will engage with PWM/IS Leadership and provide timely and accurate legal advice, in addition to practical assistance, to Compliance, Risk Management and Audit teammates. Compressively support IS's response to all new requirements impos... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Assistant General Counsel, Sales & Trading-Foreign Exchange & Derivatives The candidate will provide legal support to the Sales & Trading businesses conducted by SunTrust’s institutional broker-dealer and swap dealer including... equities, bonds, repurchase and securities lending transactions, foreign exchange and derivatives. This position provides advice in connection with relevant regulations including Dodd Frank Title VII Swap regulations and the Volcker Rule as well as the... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Managing Director, International and Cross-Border Counsel Duties: The candidate will serve as a member of the leadership team in the Institutional & Retail Legal Group and oversee the cross-border legal work for the firm. Guide US broker-dealer and asset manager business... lines in serving clients in Asia-Pacific, the EU and UK, Latin America, as well as global services business which offers foreign investments. Play a central role for International Services Enterprise. Serve... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Senior Counsel, Regulatory Attorney The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with... Reg BI and FINRA Rules and their applications to broker-dealers. Draft and review responses... to regulatory examinations. Legal review of disclosure documents, sales and marketing materials. Draft and/or review supervisory procedures and compliance policies and procedures. All other duties as assigned.... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here