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General Counsel Broker Dealer Jobs in New York City

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Job info
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Mar 29, 19
Info Source
Recruiter
Total Views
1
Broker Dealer/Margin Lending The candidate... responsibilities, including advice and counsel to key internal stakeholders... on structuring and regulatory developments as well as transactional support. Must have outstanding communications skills and a strong grounding in issues pertaining to equity and fixed... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 04, 19
Info Source
Recruiter
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, RSM US LLP.
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Apr 20, 19
Info Source
Employer
Total Views
53
private equity, hedge fund, broker-dealer and real estate investments... is essential. Experience in the review of international compliance for the above and experience with Chapter 3 & 4 related matters is essential. Must be able to support financial growth efforts... read more
Company
In-House
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Apr 18, 19
Info Source
Employer
Total Views
21
broker-dealer the principal underwriter and general distributor of variable insurance... timely, pragmatic, and proactive counsel; Prepare, initiate, advocate, and... the enterprise as legal counsel; Collaborate with other attorneys... with and/or guide outside counsel, as appropriate, on various... State or as in-house counsel. Should have 8+ years’...... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
Manhattan, NY
Posted Date
Apr 22, 19
Info Source
Recruiter
FINRA, and NYSE from general inquiries and cyclical audits... support of Policies and Procedures to support the Compliance Program. Actimize Experience is required. Bachelor’s degree is required. Must have 1+ years of experience in compliance with an institutional broker dealer.... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Feb 13, 19
Info Source
Recruiter
Total Views
4
in financial services and general experience both working in... teams and in managing substantial components of transactions independently. Specific experience representing domestic and international funds, investment advisers, broker dealers, and other financial... services businesses in structuring, formation and operation, as... read more
Company
In-House, Prudential Financial, Inc
Experience
Min 5 yrs required
Location
Iselin, NJ
Posted Date
Apr 19, 19
Info Source
Employer
Total Views
97
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, Prudential Financial, Inc
Experience
Min 10 yrs required
Location
Newark, NJ
Posted Date
Apr 19, 19
Info Source
Employer
Total Views
23
the following compliance teams: broker-dealer oversight (responsible for maintaining... broker-dealer policies and procedures and... support for the broker-dealer); investment advisory compliance team... trending on other relevant broker-dealer activities); and the pre-hire... team (background check and other registration activities). The team... read more
Company
In-House
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Apr 18, 19
Info Source
Employer
Total Views
4
Provide advice to captive broker-dealer with regard to responsibilities... broker-dealer the principal underwriter and general distributor of variable insurance... timely, pragmatic, and proactive counsel; Prepare, initiate, advocate, and... the enterprise as legal counsel; Collaborate with other attorneys... with and/or guide outside counsel, as appropriate, on various...... read more
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