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Broker Dealer Attorney Jobs in Newark

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Job info
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
25
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
Sep 16, 18
Info Source
Employer
Total Views
10
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
In-House, Prudential Financial, Inc
Experience
Min 6 yrs required
Location
Newark, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
60
Total Applies
2
legal advice regarding retail broker-dealer sales force compensation issues.... Advise on the application of the DOL Fiduciary Rule (or much lesser extent similar SEC or state law standards) to domestic business operations. Collaborate with Compliance partners on general account 'Harris... read more
Company
Recruiter, BCG Attorney Search
Experience
5-18 yrs required
Location
Roseland, NJ
Posted Date
Sep 12, 18
Info Source
Recruiter
Total Views
13
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
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
35
of experience. Knowledge of broker dealer regulations, corporate law... and experience handling regulatory investigation is needed. SEC or FINRA experience, or law firm experience advising financial institutions are needed. Military education or experience may be considered in lieu of civilian... read more
Company
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Sep 12, 18
Info Source
Employer
Total Views
127
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
Min 10 yrs required
Location
Jersey City, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
33
Managing Counsel-PAS- Broker Dealer The candidate will... support broker dealer business that provides... matters assigned by supervising attorney. Partner with the Compliance... associates to provide holistic and comprehensive advice. Provide leadership and direction to business colleagues on regulatory compliance and... read more
Company
Law Firm
Experience
5-6 yrs required
Location
Roseland, NJ
Posted Date
Sep 02, 18
Info Source
Employer
Total Views
2
equity funds, venture capital funds, and other pooled investment vehicles, as well as institutional 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.... read more
Company
Law Firm
Experience
2-3 yrs required
Location
Roseland, NJ
Posted Date
Sep 02, 18
Info Source
Employer
Total Views
1
Total Applies
1
equity funds, venture capital funds, and other pooled investment vehicles, as well as institutional 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.... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Sep 12, 18
Info Source
Employer
Total Views
53
matters involving Advisor Group’s broker-dealers and investment advisers. Provide... most particularly relating to broker-dealers and investment advisers. Handling... similar agencies. Familiarity with broker-dealers and registered investment advisers... and the laws and rules that applies to these entities is essential. First-chair... read more
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