Title: Managing Legal Counsel – Privacy Job Responsibilities: The Managing Legal Counsel – Privacy will play a crucial role in the company, focusing on privacy and data protection within the asset management business. The responsibilities include: - Reviewing and advising on...
Title: Director, Legal Counsel- Alternative Investment Platforms Job Responsibilities: - Provide legal advice related to strategic and growth initiatives concerning alternative investment platforms. - Draft and negotiate intermediary agreements with third-party alternative investment providers and issuers. - Offer legal guidance...
The following jobs are no longer active but were real openings previously posted by employers.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.
Counsel, Associate Duties:. Will report to the Deputy General Counsel, Regulatory Operations. Will handle many cases, will be the company's public face with regulators. Will be responsible for providing legal advice on issues concerning SEC, FINRA, federal and state rules... and regulations. Advise the business as to day-to-day operations of the business in compliance with applicable laws, rules and regulations. Interact with management level staff and directly with regulators... 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Note: This job is no longer active.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 Duties: Responsible for the defense of litigation claims, including lawsuits and arbitrations. Handles the defense of a docket of arbitration cases involving claims seeking up to several hundred thousand dollars in damages. Supports Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and arbitrations. Provides legal advice to the Business including Retail, Institutional and Operations regarding potential and asserted claims. Pr... 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’s primary duty is to provide legal advice, with direction and supervision as needed, to various teams and functions, and managers of all levels, within the Retail division. The attorney will be responsible for advising Retail business units on relevant legal and regulatory requirements of matters such as brokerage communications, advertising, marketing and promotions; brokerage forms and disclosures; best interest and suitability standards and re... 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 Duties: Responsible for the defense of litigation claims, including lawsuits and arbitrations. Handles the defense of a docket of arbitration cases involving claims seeking up to several hundred thousand dollars in damages. Supports Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and arbitrations. Provides legal advice to the Business including Retail, Institutional and Operations regarding potential and asserted claims. Prep... 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
Manager, DOL and Retirement - Compliance The candidate will provide ERISA and DOL regulatory guidance, support and coordinate with those responsible for direct supervision and oversight of the company's broker-dealer and investment advisory Distribution and Product Groups. This includes providing regulatory guidance regarding Internal Revenue Code and ERISA rules as they relate to internal policies and procedures, conflicts of interest, disclosures, tax reporting, and... 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
Manager, DOL and Retirement - Compliance The candidate will have primary responsibility for providing ERISA and DOL regulatory guidance, support and coordination with those responsible for direct supervision and oversight of the Firm’s broker-dealer and investment advisory Distribution and Product Groups. This includes providing regulatory guidance regarding Internal Revenue Code and ERISA rules as they relate to internal policies and procedures, conflicts of interest,... 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 Counsel, Litigation The candidate will prepare cases for hearing and serve as trial counsel in FINRA arbitration cases involving claims... seeking damages up to several hundred thousand dollars. Evaluate cases for settlement, and handle settlement negotiations including mediations. Assist and support Outside Counsel and other TDA counsel in defending larger lawsuits and arbitrations. Review pleadings, motions and legal briefs prepared by Outside Counsel. Participate i... 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
The candidate will manage and conduct in-depth and timely investigations of potential violations of trading rules that govern firm’s equities and options markets. Will develop and create timely and readable written and understandable oral reports on investigative activities and potential violations of applicable rules. Manage and stay on top of an investigative docket. Work closely with colleagues in our Trading Surveillance Departments and other regulatory area... 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 Duties: Handle allegations of market manipulation, partnering with the team’s investigators to prepare for on-the-record testimony. Drafting settlement documents, negotiating with a firm’s counsel over potential rule violations or appropriate sanctions. Analyzed the evidence to determine if there is an appropriate basis to bring enforcement actions alleging exchange rule violations. Identify and review applicable precedent to guide thinking. Will be coord... 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