Branch Office Administrators, HQ, and CWF candidates in both the US and Canada. - Apply knowledge of EEOC, the Fair Credit Reporting Act, state, local, and international employment ordinances, federal and state criminal and civil codes, employment law, insurance, FINRA, a...
The following jobs are no longer active but were real openings previously posted by employers.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.
General Counsel - Private Equity (Real Estate and Private Equity) The candidate will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitable foundations. Will negotiate distribution agreements, engagement letters, side letters and confidentiali... 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Note: This job is no longer active.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 III Duties: Supports the Office of the General Counsel by providing a comprehensive range of legal services for the firm, with a specialized expertise in litigation. Also provides general direction, guidance and assistance on legal matters to senior executives and leaders. Provides legal support by handling FINRA arbitrations and litigation, as... well as managing outside counsel. Assesses and mitigates legal risks by providing general legal advice to... 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Note: This job is no longer active.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
Counsel The candidate will be responsible to lead the company to respond to regulatory examinations and inquiries; interact with regulatory agencies in the resolution of alleged compliance deficiencies. Maintains a high degree of knowledge in the RIA environment including SEC and state investment advisory rules and regulations. Oversees annual reporting including but not limited to the SEC’s ADV, Assets Under Management (AUM) calculations, RFP responses, etc. Provide... 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- Dispute Advisory Group Manager Duties: Entails managing a team consisting of both attorney and non-attorney professionals who are responsible for all aspects of the handling of retail broker-dealer/RIA and insurance agency pre-litigation customer disputes, and all regulatory obligations related thereto. The team handles retail complaints as well as inquiries related to such disputes from a variety of regulators and law enforcement agencies (., F... 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 - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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
Paralegal Dispute Advisory Group The candidate will support the Complaint Unit and other attorneys as needed. Will be primarily responsible for the intake/close out of verbal and written client complaints for a retail broker dealer/RIA and insurance agency business. This process requires the use of independent judgment and decision making with regard to the accurate analysis of each matter to determine the nature of the allegations, identification of the correct FINRA proble... 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
Paralegal Dispute Advisory Group Duties: Support the Complaint Unit and other attorneys. Responsible for the intake/close out of verbal and written client complaints for a retail broker dealer/RIA and insurance agency business. Use of independent judgment and decision making with regard to the accurate analysis of each matter to determine the nature of the allegations, identification of the correct FINRA problem and product codes... and, more substantively, the determination... 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
- Dispute Advisory Group Duties: Legal professional needed for retail investment legal department to support the Complaint Unit and other attorneys as needed. Will be primarily responsible for the intake/close out of verbal and written client complaints for a retail broker dealer/RIA and insurance agency business. This process requires the use of independent judgment and decision making with regard to the accurate analysis of each matter to determine the nature 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
Analyst The candidate will be responsible for administering policies and procedures of the firm; in summary, help the firm and the financial advisor always do the right thing for clients. Will review public communication of financial advisors, including social media. Review customer financial transactions. Perform on-site audits of financial advisor office locations. Supervise business activities of financial advisors. Educate advisors on industry and firm policie... 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
Consultant IV - Complaints Resolution Group Sales Practice Case Manager The candidate will be responsible for the investigation and resolution of sales practice complaints in all firm Advisors business channels, including the Private Client Group, Wealth Brokerage Services, and firm Advisors Financial Network. Will be responsible for: Resolving incoming written and verbal client complaints regarding broker-dealer sales practice issues by gathering relevant informa... 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