Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel is responsible for providing securities-focused legal counsel to support the registered investment adviser (RIA) and related financial services entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements,...
Title: Compliance Officer, Securities Job Responsibilities: The Compliance Officer, Securities, plays a crucial role within the Securities Compliance Department, which serves two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide...
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...
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...
The following jobs are no longer active but were real openings previously posted by employers.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Note: This job is no longer active.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
Analyst, Customer Complaints The candidate will document receipt and resolve customer complaints promptly. Partner with Compliance, Supervision, Legal, and Operations resources to ensure proper handling of the complaint, including investigation and any required filing. Work with advisor and supervisor to gather information as part of the complaint investigation and documentation required for the complaint file. Work with customers to gather additional 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
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
- Bankruptcy & Corporate Responsibilities: Receive alerts of new bankruptcy filings, input information on those bankruptcies into the tracker, send the alerts to the applicable distribution lists. Analyze and track responses from business unit and credit teams. Follow up on pending responses or questions on the responses. Build and maintain distribution lists and tracking system. Manage proofs of claims, including monitoring of deadlines. Draft demand letters. Crea... 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 Analyst - Customer Complaints Duties: Will be responsible for reviewing and responding to customer complaints and completing all required regulatory filings (FINRA Rule 4530, Form U4... and Form U5). Will analyze the written or verbal complaint, determine the underlying concern(s), gather information and documentation related to the complaint and provide the complainant with a response. Will be a part of the Customer Complaint department and reports directly to the V... 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 The candidate will support in-house and outside counsels’ defense efforts on FINRA Arbitration and Litigation Cases... including: Enter FINRA arbitration and civil litigation... cases on the databases, gather all documents and information related to cases. work with relativity e-discovery system, monitor activity of cases primarily for IFP, IFA, DSL, INGAE, IIA, systematized benefits association, act as liaison between counsel and client in coordinating discovery respo... 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
Juris Doctorate Degree Experience: 1 - 3 Years Job Title: Senior Legal Counsel (Hybrid) Job Type: Full-time Salary: 105K-113K Location: Duluth, GA Company: A Financial Services Company Department: Marketing Advisory Department H1: Join Our Team as a Senior Legal Counsel (Hybrid) at A Financial Services Company in Duluth, GA H2: Now Hiring: Senior Legal Counsel (Hybrid) in Duluth, GA at A Financial Services Company Bulle... 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 Invesco is looking for a Counsel to join their US Product Governance and Investment Services Legal team. This role requires 4 to 7 years of experience since admission to the Bar and 4+ years of experience in a large law firm with financial services experience. The Counsel will provide legal advice relating to product development, new product structures, product changes, and more. Responsibilities: - Maintain and oversee major service providers such as... 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 Attorney/Officer The candidate will interpret new and existing securities laws and regulations and provide guidance to various business units and assist them in updating policies and procedures. Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Lead or assist in leading initiatives or projects to mitigate the risk. Respond to regulatory inquiries, manage regulatory exams, and communicate with regu... 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 Manager RA The candidate will lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor Representatives. Correspond with various regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and/or state regulatory agencies.... Lead the team 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