OverviewA law firm seeks a corporate associate with 2-4 years of experience in capital markets and public company work in New York. The ideal candidate will have a background in representing issuers or investment banks in capital markets transactions, including...
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MENU INQUIRE INQUIRE SHARE SHARE Job Title Compliance Officer - Research Date Posted 10/23/2012 Location Jersey City, NJ Job Type Full-Time Regular Job Description Frink-Hamlett Legal Solutions is pleased to present the following career opportunity. For immediate consideration, kindly submit your resume in Word format to and refer to “Research†in the subject heading. Due to the volume of resumes received only tho... 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Note: This job is no longer active.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
Officer Manage the compliance, supervisory and surveillance programs for the production and distribution of Communications with the Public with a primary focus on Research (Equity and Fixed Income) and Institutional Sales Material. Direct, establish and enforce compliance and supervisory policies with a primary concentration on Equity Research, and Institutional Sales Material. Work with technology to develop, enhance and maintain compliance systems which are desi... 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Note: This job is no longer active.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
Officer – Research The candidate will manage the compliance, supervisory and surveillance programs for the production and distribution of Communications with the Public with a primary focus on Research (Equity and Fixed Income) and Institutional Sales Material. Primary responsibilities: Direct, establish and enforce compliance and supervisory policies with a primary concentration on Equity Research, and Institutional Sales Material. Work with technology to devel... 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, Director The candidate responsibilities include: Manage the Compliance requirements and policy as they pertain to business; Manage requests from SEC, FINRA, NYSE, CBOE and the FED;... Assist in the interpretation of new legislation; Assist in the policies and procedures that arise form this new legislation; Manage a small team to achieve goals. . required. Should have 10+ years relevant financial services setting. Broker Dealer / Compliance / Regulato... 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
Regulatory Inquiries, Director The candidate will serve as the primary point of contact for examining bodies and SEC NASD, NYSE; assist regional heads of... compliance with regulatory requests; track and escalate; work closely with legal department on matters coordinated across the business; and contribute to compliance policy and procedures.... 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
Seeking an In-house Regulatory Attorney with regulatory and corporate experience. 3-5 years of professional experience counseling clients in contractual matters, including broker-dealer issues and regulatory implications is needed. Working knowledge of the ’33 Act and the ’34 Exchange Act and regulations thereunder is required. Prior in-house corporate and regulatory experience or large law firm experience is needed. Employment experience with the SEC, NASD or NYSE or oth... 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
Seeking an In-house Regulatory Attorney with regulatory and corporate experience. 3-5 years of professional experience counseling clients in contractual matters, including broker-dealer issues and regulatory implications is needed. Working knowledge of the ’33 Act and the ’34 Exchange Act and regulations thereunder is required. Prior in-house corporate and regulatory experience or large law firm experience is needed. Employment experience with the SEC, NASD or NYSE or oth... 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 The candidate will be responsible for Section 16 and other SEC filings, legal research, basic contracts, administration of global subsidiary housekeeping, coordination with other departments/subsidiaries and administrator of legal filing and contract administration. Will interact with the General Counsel and other members of the leadership team. Prepare basic legal contracts and documents such as confidentiality agreements, initial and amended articles of 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
Number: 53163 Location: NY Salary: Negotiable Job Description: Admitted to the Bars of the State of New York, CT and . Federal Court in the Eastern and Souther Districts of New York; extensive experience in handling Securities Arbitrations hearings before the NASD and NYSE while employed by a... securities law firm; ; employed for five years as Senior Arbitration Counsel for both FINRA and NYSE. C... 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 Reference: 0000205 Job Location Location New Yotk, NY US Job Function Job Function Legal Job Type Job Type Full Time Industry Industry Legal / Legal Services Job Description & Duties Our client, a major investment banking firm seeks a Compliance Officer to advise and support the Equity Research Department to ensure compliance with applicable law, regulations including, but not limited to, NYSE Rule 472, NASD 2711and... proposed amendments, Regulation AC... 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