Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel is responsible for reviewing advertising materials to ensure compliance with applicable laws and brand requirements. This includes providing legal advice on content and advising on disclosure requirements and guidelines, particularly focusing on...
Title: Compliance Attorney, Securities Job Responsibilities: The Compliance Attorney, Securities is a critical role within the company's Securities Compliance Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include the interpretation and application of securities laws and regulations...
Advisor III - Atlanta: - Job Title: Wealth Advisor III - Location: Atlanta, Georgia, USA - Category: Wealth, Brokerage and Premier Banking - Employment Type: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States of...
The following jobs are no longer active but were real openings previously posted by employers.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.
currently has the following opening in our headquarters located at 1 **Members Only** in interactions with securities regulators and sales force members, independently performs research on various compliance and legal issues and advises operatio... 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Note: This job is no longer active.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 be responsible for assisting with FINRA and SEC regulatory inquiries... and examinations. Respond to regulatory inquiries from the securities divisions of each state in order to assist representatives in obtaining and maintaining registration approvals. Provide training to the sales force regarding Form U4 requirements and other regulatory requirements. Assist representatives in resolving outstanding debt, drafting statements, an... 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 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
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
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
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
currently has the following opening in our new headquarters located at 1 **Members Only** has large independent contractor sales force and is seeking an attorney with contract expertise to provide legal services on a variety of contract and general legal matters, including contractual and compensation matters related to independent contractor sales force. Responsibilities include (1) preparing contract 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
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
Attorney Duties: Handle Securities complaints, respond to SEC, FINRA, State Securities and other... inquiries, relating to securities issues, as well as special projects. Will investigate 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 Companies’ sales force. Will prepare responses to regulatory inquiries and assist representatives in the prepa... 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 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