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General Counsel Broker Dealer Jobs in Newark

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Job info
Company
In-House
Experience
Min 7 yrs required
Location
Livingston, NJ
Posted Date
Mar 11, 2020
Info Source
Employer
Total Views
7
breaches. Provide advice and counsel to internal clients and... cybersecurity, bank regulatory, and general regulatory. Interact with regulators... regulatory issues. Manage outside counsel on regulatory issues and... the reliance on outside counsel. Maintain knowledge of new... resolution. Provide advice and counsel to the Compliance, Information... counsel... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Mar 18, 2020
Info Source
Employer
Total Views
107
Associate General Counsel, Tax Strategy and... as licensed attorney. Should preferably have Legal experience in one of the following specialties Corporate (Business Affairs), Employment, Broker Dealer (Distribution Channel), Litigation,... Tax, Regulatory, Pension / ERISA, Mortgage & Real Estate, Securities, Insurance.... read more
Company
Law Firm
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Nov 21, 2019
Info Source
Employer
Total Views
3
experience in M&A, joint ventures, restructurings, and with partnerships and limited liability companies, including drafting and negotiating complex partnership and LLC agreements. Experience and expertise working with asset management companies, broker dealers and other financial... services companies is an asset.... read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Mar 06, 2020
Info Source
Employer
Total Views
8
Associate General Counsel - Head of... will report to the General Counsel – Americas, and... legal advice to the General Counsel – Americas on... and working with outside counsel as necessary in addition... to oversight of outside counsel (including timeliness and quality... broker... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Mar 24, 2020
Info Source
Employer
Total Views
22
General Counsel The candidate will... research and respond to general legal questions from Home... ABC Laws, FDA laws, general business inquires); assist with... and maintenance with outside counsel; lead portfolio dispute resolution... enforcement efforts with outside counsel; review and assess trademark... counsel... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Mar 11, 2020
Info Source
Employer
Total Views
29
in law firm or broker dealer/investment banking firm or... derivatives dealer with emphasis on Volcker,... SEC security-based swap dealer regulations and CFTC swap... dealer regulations is required. Experience... in reviewing and analyzing legislation, rules and regulations is required; Experience (or... read more
Company
In-House
Experience
5-15 yrs required
Location
New York City, NY
Posted Date
Mar 22, 2020
Info Source
Employer
Total Views
13
Securities Counsel, Director Duties: Provide advice... and counsel to a growing international... bank owned broker-dealer in all aspects of... its business. Will advise staff and senior management on regulatory and report to the Deputy General Counsel - Investment Banking... and...... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Mar 29, 2020
Info Source
Employer
Total Views
24
Assistant General Counsel The candidate will... Reports to the Associate General Counsel. Legal work on... broker-dealers, Provide assistance to Associate General Counsel and other members... with and manage outside counsel. Active membership and good... firm or as in-house counsel. Experience in mortgage and...... read more
Company
In-House, FINRA.
Experience
Min 12 yrs required
Location
New York City, NY
Posted Date
Mar 06, 2020
Info Source
Employer
Total Views
248
works with the Chief Counsel to identify interpretive questions... Market Intelligence, Office of General Counsel and Office of... Disciplinary... risk.  Work with Chief Counsel to achieve foreseeable charges... principles.  Work with Chief Counsel and attorneys to achieve... designed to indicate the general nature and level of... broker-dealers... read more
Company
Law Firm
Location
New York City, NY
Posted Date
Mar 05, 2020
Info Source
Employer
Total Views
2
Attorney The candidate will manage litigation cases and resolve legal disputes on behalf of clients by developing agreements, negotiating contacts, settling claims, attending depositions, trials, hearings, and advocating for clients in court. Will prepare witnesses for trial and cross examination.... read more
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