with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Title: Wealth Management Advisory Attorney Job Responsibilities: The Wealth Management Advisory Attorney will serve as a primary legal contact for a wide range of legal matters within the Wealth Management business. This includes providing legal support to broker/dealer field personnel, which encompasses...
retail equities, options, and futures trading. Key responsibilities include: - Providing legal and regulatory advice to the business and other partners on issues related to retail equities, options, and futures trading. - Interpreting and advising on SEC, FINRA, CFTC, NFA, and ot......
Title: Assistant General Counsel Job Responsibilities: - Acts as a subject matter expert, providing business leaders with legal advice on issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. Ensures that business activities, policies, practices, and transactions comply with relevant...
Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...