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General Counsel Broker Dealer Jobs

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Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 20, 18
Info Source
Recruiter
Total Views
1
Corporate/Finance Attorney The candidate must have experience required involves partnerships, mutual funds and preferably familiarity with broker/dealer issues. Stellar academics and... major law firm training required.... read more
Company
In-House, IEX Corporation
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 19, 18
Info Source
Employer
Total Views
149
Associate General Counsel The candidate will... other regulators on exchange, broker-dealer and other regulatory matters.... Handling employment matters, updating of relevant policies and procedures. Research relevant legal and regulatory changes within equity market structure. Support legal projects appropriately in a... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 12, 18
Info Source
Recruiter
Total Views
1
international funds, investment advisers, broker dealers, and other financial... services businesses in structuring, formation and operation, as well as in various transactions including with respect to financings, acquisitions and formation of alternative investment structures and implementation of investment products. Must... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Apr 12, 18
Info Source
Recruiter
Total Views
3
international funds, investment advisers, broker dealers, and other financial... services businesses in structuring, formation and operation, as well as in various transactions including with respect to financings, acquisitions and formation of alternative investment structures and implementation of investment products. Must... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
10
Total Applies
1
the federal securities, with particular focus on investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Should have experience with regulatory matters involving broker-dealers, commodity trading advisors and... private funds.... read more
Company
In-House, LPL Financial
Experience
Min 5 yrs required
Location
San Diego, CA
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
129
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
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
37
(commercial, retail, private banking, broker dealers) and transactional flows;... nd Common and emerging issues impacting Financial Services clients. Should have 7+ years of pqe. Knowledge of data analytics and risk modelling as it relates to AML/BSA and OFAC solutions: Development... read more
Company
In-House, RSM US LLP.
Experience
Min 5 yrs required
Location
Edison, NJ
Posted Date
Apr 10, 18
Info Source
Employer
Total Views
31
family offices, mutual funds, broker-dealers, banks, insurance companies and... other investment managers – including nexus studies, apportionment and sourcing analysis, voluntary disclosures and merger and acquisition consulting and other state tax consulting. Will provide written technical advice in the form... read more
Company
Law Firm, Wilson Sonsini Goodrich & Rosa...
Experience
1-3 yrs required
Location
Washington, DC
Posted Date
Apr 22, 18
Info Source
Employer
Total Views
112
trading platforms. Should have experience with private placements including term sheets, risk factors, and subscription agreements. Should have knowledge of investment adviser, broker-dealer and/or other securities and... financial services regulations in the context of block chain and initial coin offerings.... read more
Company
In-House
Experience
Min 10 yrs required
Location
McLean, VA
Posted Date
Apr 21, 18
Info Source
Employer
Total Views
9
General Counsel The candidate will... procedures, working with outside counsel to manage company’s trademark... and commercial transactions. The General Counsel also will be... expected... able to become Corporate Counsel licensed in VA. Must... and/or advisor custody platform broker-dealer, preferably self clearing is...... read more
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