Title: Technical Director, Advanced Consulting Group Job Responsibilities: As the Technical Director of the Advanced Consulting Group (ACG) Annuity Team, the primary responsibility is to assist Americans in preparing for and living in retirement. This role requires expertise in the tax rules...
Title: **Members Only** Relationship Manager Job Responsibilities: The **Members Only** Relationship Manager (RM) is pivotal in delivering the company's client promise, acting as the primary client advisor. The RM's core responsibilities include recommending banking, borrowing, and investment solutions tailored to help clients achieve their...
The following jobs are no longer active but were real openings previously posted by employers.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.
Compliance Officer The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.... Will review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that required regula... 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Note: This job is no longer active.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 be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.... Will review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that required regula... 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 The candidate will be responsible for reviewing and responding to customer complaints and/or regulatory inquiries assigned to them while also ensuring that any required regulatory filings are prepared and transmitted as required for filing with FINRA in a timely manner.... Will be familiar with the legal and regulatory requirements affecting own job responsibilities. Review, investigate and prepare complaint resolution letters and responses to regulatory inqu... 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
Senior Compliance Officer The candidate will review, investigate and respond to customer complaints. Will review, investigate and respond to regulatory inquiries. Ensure that required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.... Assist the firm's Legal Department with the preparation of discovery documents related to pending arbitrations and/or litigations involving customer complaints. May be... 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
Director - Capital Markets Middle Office The candidate will lead projects impacting current daily operations and product line expansion. Lead counterparty documentation management, not limited to, MSFTA and ISDA protocol. Manage documentation language and term negotiation by coordinating with counterparty, business unit, compliance department, and internal legal team/outside council. Track and communicate status of all documentation to stakeholders. Coordinate with... 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 Director, DRRIG Duties: Be responsible for managing and overseeing the proper handling and timely responses to all customer complaints and regulatory inquiries as well as ensuring the accuracy and timeliness of all regulatory filings concerning customer complaints, arbitration and civil litigation. Overseeing and managing FINRA Form U4, Form U5,... and Rule 4530 regulatory filings relating to customer complaints. Work with the Legal Department and Outside Counsel 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
Responsibilities • Provide legal and regulatory support to Meeder and its subsidiaries, as well as to the Meeder Funds. • Work with senior business executives on new product development; product distribution and marketing; corporate governance of the Meeder Funds; and transfer agency. • Work with outside counsel, as needed, in order to resolve complex issues arising under the Investment Advisers Act of 1... 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 - Registration Advisory – Associate The candidate will responsible for advisory securities registration functions of the registered broker-dealer. Will provide primary registration and compliance advisory support for various LOBs as assigned. Additionally responsible for reviewing and approving outside business activities, providing code of conduct advice, designing and implementing various registration testing and reports as well as policies and proce... 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 - Registration Advisory – Associate The candidate will responsible for advisory securities registration functions of the registered broker-dealer. Will provide primary registration and compliance advisory support for various LOBs as assigned. Additionally responsible for reviewing and approving outside business activities, providing code of conduct advice, designing and implementing various registration testing and reports as well as policies and proce... 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 - Registration Advisory – Associate The candidate will responsible for advisory securities registration functions of the registered broker-dealer. Will provide primary registration and compliance advisory support for various LOBs as assigned. Additionally responsible for reviewing and approving outside business activities, providing code of conduct advice, designing and implementing various registration testing and reports as well as policies and proce... 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