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General Counsel Broker Dealer Jobs

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Job info
Company
In-House
Experience
3-5 yrs required
Location
Boston, MA
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
13
Senior Vice President, Associate Counsel - Corporate Law The... with a range of general business matters, including M&A... regulations applicable to retail broker-dealers and registered investment advisor... is needed. Experience counseling public companies with regard to public company reporting and... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
Teaneck, NJ
Posted Date
Jun 27, 18
Info Source
Recruiter
Total Views
15
of experience with a Broker-dealer. In depth experience in... the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, Exchange Act of 1934 and FINRA rules is essential. Should have extensive experience with... read more
Company
In-House
Experience
Min 7 yrs required
Location
Saint Louis, MO
Posted Date
Jun 26, 18
Info Source
Employer
Total Views
54
the firm's professional liability, general liability, insurance claims and... relationships with insurers. Support business continuity plan disaster recovery program. Monitor/Direct firmwide compliance programs, including independence, insider trading and adherence of team and annual audit for Broker Dealer). Research, understand and...... read more
Company
In-House
Experience
Min 10 yrs required
Location
Jersey City, NJ
Posted Date
Jul 04, 18
Info Source
Employer
Total Views
15
Managing Counsel-PAS- Broker Dealer The candidate... will support broker dealer business that provides... Advisers. The Director, Managing Counsel will negotiate contracts with... clients for a variety of advisory and custodial products and services. This position serves as an adviser within... read more
Company
In-House
Experience
Min 5 yrs required
Location
San Diego, CA
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
19
VP, Associate Counsel The candidate will assist... including senior attorneys, Deputy General Counsel and Chief Legal... and... and senior management on general broker-dealer issues, including both... financial/operations matters. Serve as counsel to standing and ad... Manage relationships with outside counsel. JD degree required. Admission... Counsel... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 04, 18
Info Source
Employer
Total Views
8
Broker Analyst - Transaction Liability... The candidate: Advises clients on placement of transaction liability insurance products. Identifies new Merger and Acquisition (M&A) and transaction liability opportunities in large/complex accounts. Sells complex services/solutions to senior managers and C-Suite level at prospects... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
Washington, DC
Posted Date
Jun 20, 18
Info Source
Recruiter
Total Views
6
Associate General Counsel, Financial Services –... responsible for handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Should preferably have 5+ years of experience garnered in either a large law firm, financial services company or broker-dealer.... read more
Company
In-House, LPL Financial
Experience
Min 5 yrs required
Location
Fort Mill, SC
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
15
VP, Associate Counsel The candidate will assist... including senior attorneys, Deputy General Counsel and Chief Legal... and... and senior management on general broker-dealer issues, including both... financial/operations matters. Serve as counsel to standing and ad... Manage relationships with outside counsel. JD degree required. Admission... Counsel... read more
Company
In-House, LPL Financial
Experience
Min 5 yrs required
Location
San Diego, CA
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
308
Vice President, Associate Counsel The candidate will report... a Vice President, Assistant General Counsel within the Advice,... Litigation... and senior management on general broker-dealer issues, including both... financial/operations matters. Serve as counsel to standing and ad... Manage relationships with outside counsel. Juris Doctor degree is... Counsel.... read more
Company
Law Firm
Experience
Min 1 yrs required
Location
West Palm Beach, FL
Posted Date
Jul 09, 18
Info Source
Employer
Total Views
53
The candidate will join Corporate Law Department. Must be attorney with experience handling securities and broker dealer matters, international and... domestic taxation, bankruptcy, real estate, intellectual property, international law, corporate structure, asset protection, land use, and mergers and acquisitions. Portable... read more
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