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General Counsel Broker Dealer Jobs in Newark

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Job info
Company
In-House, Prudential Financial, Inc
Experience
Min 10 yrs required
Location
Newark, NJ
Posted Date
May 13, 19
Info Source
Employer
Total Views
33
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
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
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
May 20, 19
Info Source
Employer
Total Views
6
Tax Insurance Broker The candidate analyze new... tax risk opportunities and prepare insurance market submissions regarding tax, Representations & Warranties Insurance (RWI) or other M&A insurance products as appropriate. Tax risks include tax issues relevant to the overall deal structure... read more
Company
In-House, Bank of America Corporation
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
May 23, 19
Info Source
Employer
Total Views
23
with regard to core broker dealer rules and regulations,... the event that external counsel is engaged, this role... experience as an in-house counsel and, specifically, as a... senior line of business counsel is strongly preferred. Prior... on, SEC and FINRA broker dealer related rules and... broker... read more
Company
In-House, Metropolitan Life Insurance Co...
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
May 24, 19
Info Source
Employer
Total Views
16
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
Company
Recruiter
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Apr 29, 19
Info Source
Recruiter
Total Views
1
Associate Counsel The candidate will work... with the Associate General Counsel and other staff... to... handle regulatory issues and general legal matters. Should have... experience in mutual funds, broker/dealers, compliance, legal issues relating... to asset management, negotiating and drafting contracts,... 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
Recruiter
Experience
Location
New York City, NY
Posted Date
May 03, 19
Info Source
Recruiter
Total Views
1
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, RSM US LLP.
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
May 13, 19
Info Source
Employer
Total Views
55
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
May 24, 19
Info Source
Employer
Total Views
30
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
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