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The following jobs are no longer active but were real openings previously posted by employers.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.
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Note: This job is no longer active.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Note: This job is no longer active.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 - 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
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
Paralegal 1 The candidate researches and resolves routine legal inquiries and issues to support attorneys who provide legal advice to company advisors. Will be primarily responsible for providing paralegal support in the broker-dealer regulation and internal investigation areas. Assists with preparation of responses to SEC, FINRA and other securities regulators... with appropriate supervision. Coordinates collection of information from other departments and analyzes information... 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 1 Duties: Researches and resolves routine legal inquiries and issues to support attorneys who provide legal advice to Advisors. Responsible for providing paralegal support in the broker-dealer regulation and internal investigation areas. Assists with preparation of responses to SEC, FINRA and other securities regulators... with appropriate supervision. Coordinates collection of information from other departments and analyzes information and data which may be respons... 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 I Duties: Researches and resolves routine legal inquiries and issues to support attorneys who provide legal advice to company's Advisors. Will be primarily responsible for providing paralegal support in the broker-dealer regulation and internal investigation areas. Assists with preparation of responses to SEC, FINRA and other securities regulators... with appropriate supervision. Coordinates collection of information from other departments and analyzes information 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
Paralegal I The candidate will research and resolve routine legal inquiries and issues to support attorneys. Advise company personnel on routine matters. Prepare agreements, documents, and pleadings relating to legal matters according to specified content and format. Provide research and background investigation under the general direction of an attorney. Handle FINRA, SEC, state registration, and... other regulatory matters. Should have 1+ years of legal experience. Excellent... 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
to travel up to 10% of the time Salary Information: The Lead Compliance Officer position offers a competitive salary. Summary: 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
Compliance Specialist, Small Business Lending Salary: Based on experience Job Title: Senior Compliance Specialist, Small Business Lending Experience: 4+ years of compliance experience or equivalent Location: Charlotte, NC; Irving, TX; Tempe, AZ; Minneapolis, MN; Saint Louis, MO Time Type: Full time Posted on: Posted Yesterday Job Requisition ID: R-358555 Department: Small Business Lending Compliance Company: **Members Only** is seeking 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