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...
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...
The following jobs are no longer active but were real openings previously posted by employers.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.
General Counsel, Brokerage Legal Department (Financial Services) The candidate will work with cross functional teams to review, draft and negotiate a variety of commercial agreements, including brokerage, financial reporting, technology, licensing, consulting, confidentiality and other business agreements. Will work on legal support of projects and initiatives that are strategic to the business unit responsible for stock plan administration and participant experien... 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Note: This job is no longer active.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
Corporate Counsel The candidate will review, draft and negotiate inbound and outbound commercial contracts. Provide legal support and guidance for internal functions, including marketing, sales and operations. Support the continuous improvement of standard form agreements, internal review processes, and other legal policies and operations. Support product and regulatory compliance. Manage contract administration database. Handle special projects as requested. A JD fro... 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
– Casualty Practice The candidate will be responsible for defending casualty litigation before state and Federal Courts filed against company’s insureds. Specific duties will include: trials, conducting and defending depositions and engaging in other pre-trial discovery, drafting pleadings, engaging in motion practice, researching, briefing and arguing appellate matters, negotiating settlements, generating reports and evaluations on assigned cases.... 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
Bill Review Unit Analyst Duties: Facilitate compliance with the established Litigation Management Guidelines and Matter Management Guidelines and best practices through the review and adjustment of complex legal invoices; Effectively communicate adjustments to AIG claims professionals and corporate attorneys through effective commentary; Participate in special projects as assigned; Analysts must meet production and quality guidelines; Other responsibilities inclu... 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
& Estate Planning Advisor Sr. The candidate will develops and presents comprehensive financial plans, including complex estate and business succession components, for HNW and UHNW clients. Coordinates and facilitates engagement with team members and with clients' tax and legal advisors. Works in a team environment to manage the estate, business succession, and financial planning process from discovery through plan delivery, maintaining communication with clients 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 - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. 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 charitab... 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 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