Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
Title: Manager, Broker-Dealer Compliance Job Responsibilities: - Provide senior compliance oversight for all aspects of **Members Only** Capital Markets (CCM), including trading, reporting, policies, procedures, and training. - Coordinate closely with cross-functional partners in Legal, Operations, Risk, Tax, Finance, and Audit to ensure a...
Title: Vice President, Advanced Planning Job Responsibilities: - Serve as a financial planning and estate planning subject matter authority for high net worth clients and their advisors. - Deliver point-in-time estate planning guidance and education or lead comprehensive financial and estate planning engagements,...
Title Asset & Wealth Management, Private Family Office Financial Planning Advisor, Vice President Job Responsibilities The Family Office Financial Planning Advisor at the Vice President level is responsible for managing client relationships and leading a team of financial planners and...
The following jobs are no longer active but were real openings previously posted by employers.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.
The candidate will report to the General Counsel and will work closely with the legal team and all other functions in the firm to provide support on legal matters. Support various aspects of investment transactions, including coordination of communications in the firm, due diligence, document preparation, closing mechanics and post-closing administration. Support legal team on board and stockholder consents and portfolio company tracking. Assist the legal team with... 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Note: This job is no longer active.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
General Counsel The candidate will negotiate and structure investment transactions across all sectors in the firm – bio, crypto, consumer, enterprise, and early and late-stage. Lead legal and regulatory diligence on potential investments. Coordinate deal processes within the firm among the investing partners, finance team and operating groups. Support investing team and portfolio management on legal matters - reviewing Board and stockholder consents, evaluating dea... 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
Dealer Counsel The candidate will navigate complex regulatory frameworks to design innovative financial products and services. Will identify and draft necessary changes to the firm’s systems and procedures to meet the requirements of new rules/regulations. Draft agreements, policies and procedures, disclosures, account documentation and website materials. Monitor SEC/FINRA and SRO rule developments and make resulting recommendations. Research securities and brokerage... 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
Policy Counsel The candidate will work on federal and governmental relations. Will facilitate participate in industry associations. Navigate complex regulatory frameworks to design innovative financial products and services. Monitor legislative, banking, SEC/FINRA, and SRO rule developments and make resulting recommendations. Identify and draft necessary changes to the firm’s systems and procedures to meet the requirements of new rules/regulations. Develop partnership... 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
Regulatory Inquiries Lead Counsel The candidate will lead and scale a team of counsel designed to support escalations of regulatory inquiries and operate at a high level. Will respond to compliance risk and vulnerabilities, opine regarding compliance processes, procedures, and controls, and respond to queries resulting from regulatory exams and inquiries. Help ensure the company’s compliance with Firm policy, and SEC and FINRA regulations. Support compliance staff... interactio... 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
Dealer Counsel The candidate day-to-day will involve: Navigating complex regulatory frameworks to design innovative financial products and services. Identifying and drafting necessary changes to the firm’s systems and procedures to meet the requirements of new rules/regulations. Drafting agreements, policies and procedures, disclosures, account documentation and website materials. Monitoring SEC/FINRA and SRO rule developments and making resulting recommendations. Res... 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
Regulatory Inquiries Counsel The candidate will be responsible for drafting and supporting the responses to regulatory inquiries and operating at a high level. This person will be responsible for helping to ensure the Firm’s compliance with Firm policy, and SEC and FINRA regulations. Supporting compliance staff... interaction with multiple regulators including SEC and FINRA. Responding to legal queries... and helping craft response to regulatory exams, cause exams and routine inqu... 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, Regulatory Duties: Navigating complex regulatory frameworks to help the business design innovative financial products and services. Identifying and drafting necessary changes to the firm's systems and procedures to meet the requirements of new rules/regulations. Engaging with regulators, including SEC and FINRA, and other external parties.... Drafting agreements, policies and procedures, disclosures, account documentation, and website materials. Resol... 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
Associate General Counsel, Retail Brokerage Duties: Serving as a subject matter expert on broker-dealer and other financial services rules and regulations. Areas of focus will include all facets of providing legal advice to a retail broker: disclosure; supervision; best execution; net capital and financial responsibility; Regulation BI; anti-money laundering compliance and financial crimes; and FINRA advertising rules. Leading a... team of attorneys that advise cross-functional... 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 Paralegal The candidate will support the group responsible for global litigation, arbitration and regulatory enforcement matters. Provide administrative support to the litigation group, including assisting with docket management and related reporting to senior management and other areas of the Firm. Researching, analyzing and assisting in drafting responses to regulatory inquiries from FINRA and other regulators, including... matter tracking, gathering of documents a... 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