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General Counsel Broker Dealer Jobs

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Job info
Company
Recruiter
Experience
Min 5 yrs required
Location
Washington, DC
Posted Date
Dec 11, 18
Info Source
Recruiter
Total Views
2
Associate General Counsel - Financial Services... the SEC, FINRA, CFTC, NFA and other regulatory authorities. Should have expertise in securities and broker-dealer issues and 5+ years... of experience garnered in either a large law firm, financial services company or broker-dealer.... read more
Company
In-House
Experience
Min 7 yrs required
Location
Minneapolis, MN
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
21
Senior Counsel The candidate will provide... insurance, variable annuity and broker-dealer lines of business of... internally or through outside counsel including response to inquiries... and demands, case preparation, settlement, appearance before regulator or court, etc. Conduct and lead sales practice... read more
Company
In-House
Experience
3-5 yrs required
Location
Boston, MA
Posted Date
Dec 12, 18
Info Source
Employer
Total Views
72
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
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Dec 19, 18
Info Source
Employer
Total Views
4
maintained by a dual broker-dealer and RIA and executing... on opportunities for enhancements. Advise the business and provide compliance support for new fund and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators.... read more
Company
In-House, Prudential Financial, Inc
Experience
Min 5 yrs required
Location
Iselin, NJ
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
12
Vice President, Corporate Counsel The candidate will be... retirement plans and products. Broker-dealer/FINRA expertise is a plus.... Working knowledge of ERISA and of insurance regulatory requirements is critical to job success. An ability to communicate complex legal and business concepts,... read more
Company
In-House
Experience
Min 5 yrs required
Location
Houston, TX
Posted Date
Dec 17, 18
Info Source
Employer
Total Views
26
Assistant General Counsel, Group Retirement The... directly to the Associate General Counsel-Group Retirement. Will be... a wide variety of broker-dealer and investment advisory issues.... services offered by the broker-dealer and investment advisory businesses.... Assist in the management of the firm’s... read more
Company
Law Firm, Quintairos, Prieto, Wood & Boy...
Experience
Min 1 yrs required
Location
Tampa, FL
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
190
Total Applies
5
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
Company
In-House
Experience
4-10 yrs required
Location
Washington, DC
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
6
Compliance Manager or Counsel The candidate will be... law firm, or another broker-dealer or FCM. Appropriately registered... compliance officer (i.e., at least a Series 24 and/or Series 3 registration) or lawyer in good standing willing to take those exams is... read more
Company
In-House
Experience
10-12 yrs required
Location
Centennial, CO
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
7
Director, Associate General Counsel The candidate will... to provide advice and counsel on a wide range... broker-dealer spotting, and advice and counsel are made available to... management. Provide advice and counsel on proposed new business... contexts. Provide advice and counsel to help the relevant...... read more
Company
In-House
Experience
Min 5 yrs required
Location
Minnetonka, MN
Posted Date
Dec 19, 18
Info Source
Employer
Total Views
1
Associate General Counsel - Transactions ... regulatory requirements, licensing arrangements, broker/dealer agreements, granting instruments, LOIs/LOAs,... responses to RFPs, term sheets, et al. Manage multiple contract priorities for complex vendor, corporate development and intercompany contracts. Produce required contractual documents that meet... read more
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