Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and... Fixed Income Specialist, and Compliance teams, which include over... manage priorities to align with Member Supervision goals. - Coordinate efforts with cross-functional partners and integrate Examination efforts with Regulatory Operations. - Oversee fixed...
Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely with cross-functional partners outside Member Supervision and integrate Examination efforts with Regulatory Operations. - Ensure connectivity and... partnership with Me...
The following jobs are no longer active but were real openings previously posted by employers.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.
Advisor, Regulatory Compliance and Governance ... Duties: Under the general direction of the General Counsel & Corporate Secretary and coordinating with the VP and Deputy General Counsel and Compliance Systems & Reporting Manager,... provide compliance and risk management assistance... and legal research and document preparation in support of implementing the organization’s strategic plans, business objectives and transactions. Regulatory Compliance: Under the supervision... of... the G... 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Note: This job is no longer active.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 Attorney The candidate will provide legal support for our mission-related programs and business units. Research legal issues and prepare legal opinions, including regulatory compliance obligations. Manage work... by outside counsel at times to achieve optimal outcomes with contained costs. Develop and maintain general knowledge on relevant legal and regulatory risks, particularly in health... information technology. Build effective relationships with our key players in the... 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 Duties: Responsible for... testing and monitoring of all risk based program to assess and mitigate compliance and operational risks that... may be inadequate or failed internal processes, people, systems or external events. Responsible for assisting the VP of Compliance in developing and monitoring... risk-based programs to identify, assess and mitigate operational and compliance risks. Supervision of group... of compliance consultants responsible for the... day to day g... 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 Duties: Responsible for... testing and monitoring of all risk based program to assess and mitigate compliance and operational risks that... may be inadequate or failed internal processes, people, systems or external events. Responsible for assisting the VP of Compliance in developing and monitoring... risk-based programs to identify, assess and mitigate operational and compliance risks. Supervision of group... of compliance consultants responsible for the... day to day g... 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
or Graduate Intern - Member Regulation - Dallas, TX( Job Number: 000587) Description We Work to Protect Investors. Join our Team. 2011 Summer Internship Program 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
Undergraduate/Graduate Intern - Member Regulation Sales Practice Duties: Will obtain an understanding of organization and how organization's interrelate with the securities industry. Learn how to gather information on member firms from rules, regulations guidelines, records, databases, SROs and regulatory agencies. Learn how to... determine member firm regulatory compliance. Observe examination activity... performed by more senior staff. Assist in reviewing and analyzing customer... 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
The candidate will responsible for independent preparation of documents necessary to comply with federal, state and local regulations in the conduct of business activities. Will assist the General Counsel and the Attorney in the duties required as corporate secretary of company and its affiliates. These duties include the full range of corporate governance and maintenance responsibilities (such as, meetings, minutes, corporate filings, inter-company agreements, con... 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 Investment And Corporate Services The candidate will directly assists the Associate Counsel, Investment and Corporate Services to provide legal services to company Financial Resources and its affiliates. Primary focus will be on legal considerations related to investment products and services. In assisting the Associate Counsel, Investment and Corporate Services, the Senior Paralegal is responsible for a substantial amount of legal support to the Investment... 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 Investment And Corporate Services The candidate will directly assist the Associate Counsel, Investment and Corporate Services to provide legal services to organization Financial Resources and its affiliates. Primary focus will be on legal considerations related to investment products and services. In assisting the Associate Counsel, will be responsible for a substantial amount of legal support to the Investment areas (such as portfolio management, administra... 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
Attorney Duties: Will render services, as directed by the General Counsel. Attend Board meetings and other administrative meetings to provide legal counsel. Advise the Superintendent of Schools and Board of Trustees on legal matters relating to the operations of the district (. administrative procedures, public employment, contracts, bids, construction, real property, student rights, general public education law, special education law) for the purpose of ensuring a... 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