issues pertaining to federal securities laws. Key responsibilities include:... Company Act status issues and providing legal opinions. - Handling broker-dealer and investment adviser status... issues. - Offering counsel on broker-dealer and investment adviser registration... and compliance. - Assisting in t...
a junior associate with 1-3 years of experience and one for a midlevel associate with 4-5 years of experience at a large law firm. - Must have experience with regulatory matters in the financial... services space, such as broker-dealer, investm...
Counsel (Securities Enforcement) at Law Firm... attorney to join the Securities Enforcement practice group at... in matters related to securities market participants, including broker-dealers... and registered investment advisers... - The group is involved in enforcement matters before the SEC, DOJ,...
The following jobs are no longer active but were real openings previously posted by employers.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.
Broker-Dealer Compliance and Regulation Associate... - Securities and Financial The candidate'... should have experience in the following areas: Advising on complex regulatory requirements and developments in... both advisory and enforcement contexts; assisting major financial institutions in integrating regulatory requirements into their business... practices; Should have working knowledge of trading issues; sales practice issues; product development; futures and derivatives; financing... 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Note: This job is no longer active.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
Broker - Dealer Compliance and... Regulation Associate The candidate will be responsible for providing advice to multinational and US securities firms, securities exchanges and... other market players regarding SEC, FINRA, NYSE and other securities regulations. It includes participating... in the administrative law rulemaking process, assisting major financial institutions in integrating regulatory requirements into their business... practices; advising on cross-border issues; reviewing... 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
Asset Management Associate The candidate should have a proven track in this area and will be expected to work with investment companies, private funds, business development companies, investment advisers, broker-dealers, fund sponsors and fund... independent directors in all aspects of their business, which may include preparing fund documents, registration statements, compliance policies and board materials. Regulatory experience with SEC examinations... and enforcement matters i... 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
Securities Enforcement & Regulatory-Staff Attorney The candidate will... assist partners and associates in helping firm clients (hedge funds, private equity funds, broker-dealers, and public companies) in... meeting regulatory requirements. Great opportunity for... a highly motivated individual to learn from experts in the field and join a thriving practice. Familiarity with securities law is a plus,... but the opportunity to learn the highly driven.... 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
This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides... expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes.... This position is recognized by FINRA and the industry as the top/primary expert in a particularly complex and unique subject matter area(s) per... 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
Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as... subject matter resource in one or more areas of legal expertise, primarily in equity and fixed income securities, trading practices and market... structure, with an emphasis on OGC support to FINRA as a participant in the Consolidated Audit Trail (CAT) NMS Plan. This is professional work in which incumbents are defining their as... 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
This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides... expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes.... This position is recognized by FINRA and the industry as the top/ primary expert in a particularly complex and unique subject matter area(s) pe... 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
This position is primarily responsible for developing, directing and managing OGC’s program with respect to regulatory matters requiring specialized expertise... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. The incumbent demonstrates expertise with respect to the Exchange Act and Investment Advisers Act, their rules, and related SEC interpretative guidance, as well as knowledge concerning st... 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 Vice President & Associate General Counsel, Capital Markets directs, manages, and supervises a team of attorneys that develops and implements capital markets policy initiatives, and counsels the Department of Market Regulation and Transparency Services. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes.... The incum... 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
Temporary Supervisory Attorney Adviser, SK 17 Duties:... The candidate will join a team that is responsible for risk identification, data and analytical projects - both created within the Office of Risk Analysis and Surveillance and as part of larger Commission-wide work streams with internally created and commercially available products. Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs. Assign work t... 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