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: 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...
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The following jobs are no longer active but were real openings previously posted by employers.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.
Consultant, Consulting Services Department - NRS The candidate will provide compliance-consulting services to assigned department clients. Will work closely with investment adviser and/or broker dealer clients to assist... in the identification of compliance issues, provide recommendations based in applicable regulations, prepare and file firm registration documents, draft disclosure documents, conduct on-site compliance reviews, and provide consulting services on a variety of... 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Note: This job is no longer active.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
Junior Attorney The candidate will investigate broker-dealer or general litigation filed... against the company and will assist in developing and implementing strategy, drafting or editing pleadings and in staying on top of deadlines. Will also research and resolve consumer complaints related to securities products, including mutual funds, variable annuities, managed accounts and 529 plans, as well as other services provided by the firm Companies’ sales force and will assist... 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
Securities Compliance Officer The candidate will create and implement policies and procedures that are reasonably designed to ensure the broker-dealer and registered investment adviser... are complying with applicable laws, rules and regulations. Communicate securities compliance procedures and policies to the sales force. Represent the broker-dealer and registered investment adviser... during regulatory examinations and investigations. Respond to information requests and inquirie... 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 The candidate will be responsible for providing legal counsel in connection with the broker-dealer’s distribution of mutual funds,... annuities, IRAs, and employer-sponsored retirement plans, as well as the firm’s wrap-fee advisory program. Work with the existing legal staff on all aspects of the firm’s business, including product due diligence, IRA custodian, vendor agreements, brokerage agreements, advisory agreements, training, advertising review, regulatory... 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
Litigation Counsel DUTIES: Assist in managing broker-dealer, life insurance, and general... litigation. Address securities customer complaints. Respond to inquiries from state, federal, and self-regulatory organizations, including state Departments of Insurance and FINRA. Respond to state inquiries relating to unemployment and workers' compensation claims. Assist in placement and management of the company’s corporate insurance program, and work on special projects.... 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
Securities Compliance Attorney/Officer RESPONSIBILITIES: Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealer and registered investment adviser.... Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Lead or assist in leading initiatives or projects to mitigate the risk. Serve as subject matter expert and represent Complian... 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 Location: Home Office Job Code: 131407 Grade: C14 # of openings: 1 Description The Securities Compliance Attorney works in the Securities Compliance Department of broker dealer / investment adviser.... Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office... 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 The candidate works in the Securities Compliance Department of broker dealer/investment adviser. Responsibilities include... designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; interacting with securities regulator... 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 (Securities Compliance Attorney) The candidate works in the Securities Compliance Department of broker dealer / investment adviser.... Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; in... 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 The candidate works in the Securities Compliance Department of broker dealer/investment adviser. Responsibilities include... designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; interacting with securities regulator... 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