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General Counsel Broker Dealer Jobs

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Job info
Company
In-House
Experience
Min 7 yrs required
Location
Saint Louis, MO
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
95
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
3-5 yrs required
Location
Boston, MA
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
37
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 4 yrs required
Location
New York City, NY
Posted Date
Aug 30, 18
Info Source
Recruiter
Total Views
3
FinTech Associate General Counsel The candidate should... regulated entities such as broker-dealers, investment advisors, securities exchanges... or ATSs (or working at the SEC or FINRA) is a plus as is having JOBS Act expertise. This generalist role will also handle... read more
Company
In-House
Experience
5-8 yrs required
Location
Houston, TX
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
104
Assistant General Counsel The candidate will... and information statements and general fund matters. Act as... Support the firm’s affiliated broker-dealer in connection with negotiating... and operations, in providing general legal advice relating to... the funds. Client-facing role - expected to... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Phoenix, AZ
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
120
Senior Counsel, Regulatory Attorney The candidate... directly to the Associate General Counsel and provide regulatory... and... legal advice relating to broker-dealers and investment advisers. Will... most particularly relating to broker-dealers and investment advisers. Assist... in the design and implementation of... read more
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
27
Vice President, Corporate Counsel The candidate will be... and regulatory advice and counsel to the broker-dealer supporting... and regulatory advice and counsel to the broker-dealers supporting... broker-dealers provide legal analysis and counsel in connection with the... experience as broker-dealer/insurance distribution counsel, including providing advice regarding...... read more
Company
In-House, LPL Financial
Experience
Min 5 yrs required
Location
San Diego, CA
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
358
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
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
128
Assistant General Counsel The candidate will... and information statements and general fund matters. Act as... Support the firm’s affiliated broker-dealer in connection with negotiating... and operations, in providing general legal advice relating to... the funds. Client-facing role - expected to... 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... 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
Law Firm, Quintairos, Prieto, Wood & Boy...
Experience
Min 1 yrs required
Location
Tampa, FL
Posted Date
Sep 13, 18
Info Source
Employer
Total Views
149
Total Applies
4
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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