Title: AVP, Regulatory Inquiries Compliance Associate Job Responsibilities: - Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the company's responses to regulatory inquiries. - Prepare and submit accurate, comprehensive, and timely responses—including supporting...
The following jobs are no longer active but were real openings previously posted by employers.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.
Non-Disclosure Agreements, Legal The candidate will be responsible for drafting, reviewing and negotiating non-disclosure agreements and release (or non-reliance) letters for Bank’s global markets and corporate finance divisions. Liaise and coordinate with the business on the transaction requirements and other deal lawyers as necessary to comply with the bank’s policies and procedures. Negotiate as necessary with clients or counter parties on a transaction to... 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Note: This job is no longer active.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
Non-Disclosure Agreements, Legal The candidate will be responsible for drafting, reviewing and negotiating non-disclosure agreements and release (or non-reliance) letters for Deutsche Bank’s global markets and corporate finance divisions. Liaise and coordinate with the business on the transaction requirements and other deal lawyers as necessary to comply with the bank’s policies and procedures. Negotiate as necessary with clients or counterparties on a transac... 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Note: This job is no longer active.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
Asset Wealth Management - Paralegal The candidate will include, Regulatory Filings with FINRA and ARA client documentation... drafting support B24 Compliance Report Supervision. Service Level Agreement drafting and repository oversight. Should have Bachelor’s Degree or equivalent required. Paralegal experience preferred. Motivated and enthusiastic team player, able to work alone or with others in a fast paced, dynamic environment.... 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
and Regulatory Support The candidate will Prepare regulatory filings on behalf of firm Investment Management Americas, for example: Quarterly filing of forms CTA-PR and CPO-PQR with the National Futures Association. Assist with Secretary duties for IROC and SAOC – Gather materials for meetings, responsible for reports and compiling into meeting package. Taking notes on meetings, writing minutes. Editing Terms of Reference as needed. Managing the scheduling of monthly... 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
Manager, Regional Compliance Officer The candidate will serve as a Regional Compliance Officer dedicated to a specific region of the broker/dealers footprint and responsible for providing advice and guidance with regard to both securities and investment advisory activities. Will work closely with regional sales supervisory management in assisting them in maintaining compliance with both the rules and regulations of the securities industry in addition to CI firm po... 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 Duties: Will work in Compliance oversight of Bank’s Corporate Banking and Securities (CB&S) Business. Responsibilities will involve all aspects of Compliance support, including advising and providing guidance to multiple lines of business of a sophisticated full service broker/dealer. This includes Sales, Equities, Fixed Income, Commodities, Derivatives, Research and Corporate Finance businesses. Will be providing advice on Compliance with rules... 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
Vice President,Level 2 Testing, Compliance The candidate will join a team of Compliance Level 2 Examiners charged with the reviews of all . banking and broker-dealer activities. Provides exposure to a wide variety of business areas and an opportunity to work on teams. Responsibilities will include: Assist in the review of the US Broker dealer with a view towards assessing compliance with applicable federal and state banking laws, and policies and procedures. Esc... 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
Vice President,Level 2 Testing, Compliance The candidate will join a team of Compliance Level 2 Examiners charged with the reviews of all . banking and broker-dealer activities. Provides exposure to a wide variety of business areas and an opportunity to work on teams. Responsibilities will include: Assist in the review of the US Broker dealer with a view towards assessing compliance with applicable federal and state banking laws, and policies and procedures. Esc... 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
Product and Regulatory Lawyer The candidate ill entail the following primary areas of focus supporting the AWM division in connection with . regulatory matters, including Advisers Act and Investment Company Act matters (including Form ADV), FINRA, CEA and CFTC (including... Dodd Frank Title VII), Dodd Frank Volcker Rule, Form PF, FATCA; and ERISA. The ideal candidate should have 5+ years of legal experience, at a law firm and/or as an in-house lawyer at a financial instituti... 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
VP, Asset Wealth Management Attorney Duties: Supporting the AWM division in connection with US regulatory matters, including: Advisers Act and Investment Company Act matters (including Form ADV), FINRA, CEA and CFTC (including... Dodd Frank Title VII), Dodd Frank Volcker Rule, Form PF, FATCA, ERISA. Serving as a liaison with non-US colleagues in assessing the impact of certain non-US regulatory matters (eg, EMIR and AIFMD) on the AWM products manufactured in the US. Advising... 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