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Broker Dealer Attorney Jobs in Newark

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SPONSORED JOB
Company
BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Dec 08,18
Info Source
Recruiter
Total Views
3
seeks investment management and broker dealer regulatory associate attorney with... 2-4 years of a wide variety of broker dealer and investment adviser clients... governing investment advisers and broker dealers, bank fiduciaries, pooled investment...... read more
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
50
and counsel to the broker-dealer supporting Prudential’s investment management,... and counsel to the broker-dealers supporting Prudential’s life and... counseling Prudential’s insurers and broker-dealers with respect to federal... Should have experience as broker-dealer/insurance distribution counsel, including providing... advice regarding FINRA, SEC... read more
Company
In-House, Prudential Financial, Inc
Experience
12-15 yrs required
Location
Newark, NJ
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
52
Total Applies
1
counsel to the retail broker-dealer with a concentration on... and counseling insurers and broker-dealers before Federal and State... Regulators, and Self-Regulatory Organizations. Coordinating with Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the sale... read more
Company
Recruiter, BCG Attorney Search
Experience
4-8 yrs required
Location
Roseland, NJ
Posted Date
Dec 05, 18
Info Source
Recruiter
Total Views
17
mid-level/senior investment management associate attorney with 5-6 years of... investors, investment advisers and broker-dealers. Should have specific expertise... in hedge fund and/or private equity fund formation and structuring. Familiarity with the Investment Advisers Act of 1940 and regulatory/compliance experience is... read more
Company
In-House, American International Group, ...
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Dec 11, 18
Info Source
Employer
Total Views
176
Support the firm’s affiliated broker-dealer in connection with negotiating... and reviewing selling and other agreements with financial intermediaries and on matters relating to fund marketing. Frequently interact with numerous stakeholders, including investments, compliance, fund administration, the insurance product group, marketing... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Dec 10, 18
Info Source
Employer
Total Views
5
Broker Dealer Attorney The candidate... functions related to our Broker Dealer. Provide legal counsel... to the broker-dealer regarding compliance and regulatory... and arbitration matters. Manage broker-dealer regulatory examinations and inquires.... supervisory procedures relating to broker-dealer functions. Assist with internal... have 2-4 years of Broker Dealer experience. Excellent organizational...... read more
Company
Law Firm
Experience
2-3 yrs required
Location
Roseland, NJ
Posted Date
Nov 23, 18
Info Source
Employer
Total Views
3
investors, investment advisers and broker-dealers. Will work in an... entrepreneurial environment with growth opportunities; and To receive excellent attorney training and development in... a collegial atmosphere. Must be junior corporate Associate with 2 - 3 years of investment management experience.... read more
Company
Law Firm
Experience
5-6 yrs required
Location
Roseland, NJ
Posted Date
Nov 23, 18
Info Source
Employer
Total Views
1
investors, investment advisers and broker-dealers; To work in an... entrepreneurial environment with growth opportunities; and to receive excellent attorney training and development in... a collegial atmosphere. Should have 5-6 years of investment management experience. Specific expertise in hedge fund and/or... read more
Company
Recruiter, BCG Attorney Search
Experience
1-5 yrs required
Location
Roseland, NJ
Posted Date
Dec 05, 18
Info Source
Recruiter
Total Views
32
Total Applies
3
corporate investment management associate attorney with 2-3 years of... investors, investment advisers and broker-dealers. Should have specific expertise... in hedge fund and/or private equity fund formation and structuring. Familiarity with the Investment Advisers Act of 1940 and regulatory/compliance experience is... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Dec 08, 18
Info Source
Employer
Total Views
4
Investment Management and Broker-Dealer Regulatory Associate The candidate... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... a wide variety of broker-dealer and investment adviser clients... seeking to deliver services in various markets through different platforms and mediums in compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
Newark, NJ
Posted Date
Dec 11, 18
Info Source
Employer
Total Views
5
and regulators regarding Insurance, Broker-Dealers, and Registered Investment Advisors.... The role will design and implement a compliance oversight program for each of the new cross business unit initiatives that is effective in preventing, detecting and mitigating violations of applicable law... read more
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