and NFA requirements. - Providing legal guidance on activities related to limited-scope broker/dealer and retail-adjacent activities of... the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters...
and related strategic initiatives. - Advise on regulatory issues relevant to the . client-facing business, including SEC, CFTC, FINRA, and NFA requirements. - Advise on activities of limited-scope broker/dealer and retail-adjacent activities of... the investment adviser, including licensing, marketing, and disclosure rules....
on activities of limited-scope broker/dealer and retail-adjacent activities of... the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters related to . distribution...
Job Title: Transportation Associate Attorney Job Responsibilities: The Transportation Associate... Attorney will join the Transportation... the trucking industry. The attorney will represent a diverse... group of clients including freight carriers, transportation brokers, truck insurers, public entities, school bus operators, long and...
Title: Real Estate Leasing Attorney Job Responsibilities: The Real Estate Leasing... Attorney at the company is... tasked with managing all legal aspects of a large commercial real estate development. The core responsibilities include: - Negotiating, drafting, and revising a high volume of real...
issues concerning all aspects within the bank's full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including... Delaware trust) offerings and services. - Develop and support implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulator...
Title: Capital Markets Senior Associate/Counsel Job Responsibilities: - Lead and support initial public offerings (IPOs), SPAC IPOs, de-SPAC business combinations, follow-on offerings, registered direct/ATM offerings, PIPEs, and private placements. - Draft and negotiate offering documents, including registration statements, underwriting agreements, prospectuses, and disclosure...
Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel is responsible for providing securities-focused legal counsel to support the registered investment adviser (RIA) and related financial services entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements,...
& Derivatives Associate Position Job Title: Associate Position Job Responsibilities: The Futures & Derivatives Associate will be responsible for advising financial market participants on various aspects of . commodity, futures, and derivatives regulatory, transactional, and enforcement issues. The associate will engage in the...
operations of the Wealth Management Division at the company. The role involves advising on a wide range of legal and compliance issues pertaining to the company's wealth management services, including Registered Investment Adviser (RIA), Broker-Dealer, and Trust offerings. Key... re...
the company's Wealth Management business. - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the company's full-service wealth management business, which includes RIA, Broker Dealer, and Trust offerings... and services....
operates across all major jurisdictions and market sectors. The team is responsible for representing a variety of clients, including: - Public companies and their executives, officers, directors, and board committees - Broker-dealers, mutual fund companies, and... other financial institutions The associate will han...
across all major jurisdictions and market sectors. The associate will be responsible for representing public companies, their executives, officers, directors, and board committees, as well as broker-dealers, mutual fund companies, and... other financial institutions in a wide array of...
the law firm. The primary responsibilities include representing public companies, their executives, officers, directors, and board committees, as well as broker-dealers, mutual fund companies, and... other financial institutions in a wide array of litigation matters. The associate will handle comple...
Title: AVP, Sr. Counsel - Fund Management Job Responsibilities: - Provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel...
Title: AVP, Sr. Counsel - Fund Management Job Responsibilities: In the role of AVP, Sr. Counsel - Fund Management, the successful candidate will be responsible for providing leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's...
Title: AVP, Sr. Counsel - Fund Management Job Responsibilities: In the role of AVP, Sr. Counsel - Fund Management, you will be expected to provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and...
Title: AVP, Sr. Counsel - Fund Mgmt Job Responsibilities: In the role of AVP, Sr. Counsel - Fund Mgmt, you will provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and advisory businesses. Your...
Title: AVP, Sr. Counsel - Fund Mgmt Job Responsibilities: - Provide leadership, direction, and subject matter expertise on complex projects and initiatives concerning the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel to...
Securities Litigation Attorney Job Title Securities Litigation Attorney Job Responsibilities The... Securities Litigation Attorney will be responsible for... representing broker/dealers, life insurance carriers, financial... institutions, investment advisory firms, and their employees in a variety of legal matters. Key responsibilities include: - Handling securities and shareholder...
Title: Head of Cyber Claims Job Responsibilities: - Oversee a group of first- and third-party cyber claims adjusters. - Manage relationships with outside counsel and vendors. - Provide timely and meaningful claim trend information to underwriters and actuaries. - Maintain profitable growth and account retention...
Title: Senior Legal Counsel Job Responsibilities: - Draft, review, and negotiate a variety of commercial agreements, including client contracts, market data licenses, platform access agreements, and amendments for new products, customers, and fee plans. - Advise internal business teams on and negotiate contracts...
Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
negotiate contracts for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep informed on legislation a...
Manage and negotiate contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk manageme...
Title: Senior Director, Senior Managing Counsel Job Responsibilities: The Senior Director, Senior Managing Counsel at Company plays a pivotal role in the Legal department, reporting directly to the Head of Legal for Company Pershing/Company Wealth Services. The primary responsibilities include: - Acting as...
Company for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and... technology affiliate as needed. - Advise on new product development and regulatory risk management decisions. - Provi...
contracts for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and... technology affiliates as needed. - Advise on new product development and regulatory risk management decisions. - Provide business leaders an...
negotiate contracts for a variety of advisory, brokerage, technology, and operational services within Pershing. - Provide general legal support to broker-dealer, registered investment adviser, and... technology affiliate as needed. - Advise on new product development and regulatory risk management decisions. - Provide busin...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position involves...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...
Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops...
Title: Associate, HONORS Program-1 Job Responsibilities: Associates in the HONORS Program at the organization make significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. They gain hands-on legal experience and develop...
Job Title: Compliance Attorney, Securities Job Responsibilities: The Compliance Attorney,... Securities is a critical... Department, which oversees two Broker-Dealers and a Registered Investment... and regulations to provide guidance across various business units. The attorney will work directly with... registered representatives and regulat...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be an integral part of the Legal, Risk, Sustainability & Compliance team at the company, focusing primarily on supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team and will act as in-house counsel dedicated to supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: - Advise on a wide array of legal and regulatory matters concerning the formation, structuring, distribution/marketing, and operation of private funds. This includes preparing and negotiating private placement memoranda, partnership agreements, term...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, serving as the in-house counsel for the company's real estate investment funds....
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will serve as in-house counsel for the company's real estate investment funds as part of the Legal Risk Sustainability Compliance (LRSC) Team. Responsibilities include: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Job Title Transportation Associate Attorney Job Responsibilities The Transportation Associate... Attorney will join the Transportation... Practice at a law firm, where they will be extensively involved in the defense of the trucking industry. The responsibilities include representing freight carriers, transportation brokers,...
Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will join the Corporate Practice at a law firm and will be responsible for handling significant corporate transactions with a focus on Capital Markets. Responsibilities include working on . and cross-border transactions,...
Title: Corporate Capital Markets - Associate (Mid-Level) Job Responsibilities: The position of Corporate Capital Markets - Associate (Mid-Level) at the law firm involves significant responsibilities in the realm of corporate transactions with a particular focus on Capital Markets. The candidate will engage...
and provide legal advice to the company's business regarding FINRA regulatory and broker dealer compliance issues. - Manage... communication and interaction with the company's clients, service providers, and others regarding contract terms and conditions and other relevant information. - Stay informed...
Title: Senior Legal Counsel Job Responsibilities: - Serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced environment. - Act as a trusted advisor and subject matter expert, delivering sophisticated legal...
Commercial Real Estate Transactions Attorney in Austin, Texas. The... role involves managing complex commercial property matters, including acquisitions, dispositions, leasing, development, and financing. This position requires strong transactional expertise, refined negotiation skills, and the ability to manage sophisticated client matters...