will support multiple retail-focused broker-dealer and investment adviser business... units. The individual will work daily with managers, directors, and managing director-level business clients, serving as a trusted counselor. The role involves identifying, analyzing, documenting, and advising on legal issues and...
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...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be a key member of the company's Legal Risk Sustainability Compliance (LRSC) Team, specifically focusing on supporting the company's real estate investment funds. The primary responsibilities...
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...