Title: Transaction Counsel - Credit Business & Transactional Support Job Responsibilities: - Provide legal support for the company's Credit business, assisting with general credit-related legal matters and supporting transactional activities. - Support transactional activities across the company's Credit business, assisting with...
framework of the organization, ensuring compliance with legal and regulatory standards. Your main responsibilities... will include: - Drafting, reviewing, and negotiating agreements related to the clearing and custody business, including those with broker-dealers, registered investment advisors, and... other securities industry count...
role in guiding the organization through complex legal matters with integrity and confidence. The primary responsibilities include: - Drafting, reviewing, and negotiating agreements related to the clearing and custody business, particularly with broker-dealers, registered investment advisors, and... other securities industry counterparts....
Legal Risk Sustainability Compliance (LRSC) Team, specifically focusing on supporting the company's real estate investment funds. The primary responsibilities include: - Advising on legal and regulatory matters related to the... formation, structuring, distribution/marketing, and operation of private funds. This involves p...
Title: Associate Attorney Job Responsibilities: - Regulatory Defense & Compliance Oversight:... Provide legal defense in regulatory matters affecting broker-dealers (BD)... and registered investment advisers (RIA). Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities. - Drafting and Reviewing...
tasked with providing comprehensive regulatory and transactional support to... and its wealth management operations and subsidiaries. The role demands substantial expertise in advising registered investment advisers and broker-dealers. Key responsibilities include: - Providing... transactional and regulatory counsel to the Bank... an...
Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth... management business teams throughout all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures. - Provide...
Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC –... Platforms, Programs & Advisory Attorney will play a pivotal... retail investor agreements and conflict disclosures. The VP will support the advisory business and, to a lesser extent, the broker-dealer and custodial...
Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel... wealth management business teams throughout all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures. -...
Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth... management business teams through the development of new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures. - Provide day-to-day legal...
Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC... Platforms, Programs & Advisory Attorney is responsible for providing... strategic legal advice to various business units within the company. This position involves working with an experienced team of lawyers to deliver...
Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management... business teams through all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures. - Provide day-to-day legal...
Platforms, Programs & Advisory Attorney Job Responsibilities: The Vice President,... within the company, focusing on retail investor agreements and conflict disclosures, primarily supporting the advisory business but also the broker-dealer and custodial businesses. Key... responsibilities include: - Counseling wealth management business te...
Counsel, Broker-Dealer Counseling and Regulatory Examinations Job Responsibilities: The Assistant... General Counsel will lead regulatory examinations and provide legal... to the company's retail broker-dealer. Key responsibilities include: - Leading... internal coordination for regulatory examinations and investigations by... the Securities and Exchange Commission (SEC),... securities...
brand requirements. This includes providing legal advice on content and advising on disclosure requirements and guidelines, particularly focusing on digital and internet communications such as websites, email, and social media posts. The role involves facilitating compliance with broker-dealer and inve...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on lega...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on legal...
Title: Senior Counsel – Distribution Counsel (BD/RIA/Insurance) Job Responsibilities: The Senior Counsel will play a pivotal role in ensuring the success and compliance of the organization by providing strategic legal guidance and support to distribution and product leadership within the Protection...
development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on l...
of experience in broker-dealer regulatory and compliance matters Experience... with federal and state securities laws and self-regulatory organization... (FINRA, securities exchanges, clearing agencies) rules... Experience with broker-dealer financial responsibility rules, including... and 15c3-3 Experience with broker-dealer registration and transactional matters......
is seeking an experienced attorney to join their corporate... a focus on the broker-dealer and custodial platform business.... The ideal candidate will have at least 10 years of relevant experience in the financial services industry and must be able to...
is seeking an experienced attorney to join their team... business units, with a focus on the broker-dealer and custodial platform business.... The ideal candidate will have at least 10 years of relevant experience in the financial services industry and be...
is seeking an experienced attorney to join its corporate... the Executive Vice President. The ideal candidate will have at least 10 years of experience within a law firm, specifically counseling the financial services industry in federal and state regulatory complianc...
Counsel (Securities Enforcement) at Law Firm... attorney to join the Securities Enforcement practice group at... in matters related to securities market participants, including broker-dealers... and registered investment advisers... - The group is involved in enforcement matters before the SEC, DOJ,...
Title: Senior Vice President, Associate General Counsel Job Responsibilities: The Senior Vice President, Associate General Counsel will play a pivotal role in assisting other attorneys within the department, as well as senior members of the business, including the Deputy General...
Job Title: Attorney-Equity Derivatives Job Responsibilities: The Attorney-Equity... Derivatives is responsible for... which include Prime Finance, Securities Lending, Clearing and Settlement,... involves providing advice on broker-dealer regulations and new or... or services related to these businesses. The attorney will coordinate t...
Job Title: Attorney-Equity Derivatives Salary: Competitive, based... America is Hiring an Attorney-Equity Derivatives in New York... a skilled and experienced Attorney-Equity Derivatives to join our... team in New York. As a leading financial institution, we are committed to delivering res...
Corporate and Securities Associate Position at Prestigious... as a Corporate and Securities Associate at a Top... for Experienced Corporate and Securities Associate in the Cryptocurrency... and Blockchain Space Bold Headline: Join Our Team at CFM - The Leading Law...
Job Title: Corporate and Securities Associate Experience: Minimum 3... years in securities law, 2 years in... on federal and state securities laws and regulations -... Support offerings under Regulations A, D, S, and CF, and oversee entity formation and management...
Friendly Job Title: Investment Management Associate - Winston-Salem, NC H1 Heading: Join Our Team as an Investment Management Associate in Winston-Salem, NC! H2 Heading: **MEMBERS ONLY**SIGN UP NOW***. is Seeking an Experienced Associate with Corporate and Investment...
is a law firm with over 160 attorneys located in Cleveland, Columbus, and Cincinnati, Ohio. Founded in 1903, **MEMBERS ONLY**SIGN UP NOW***. has been providing comprehensive legal services to clients ranging from Fortune 500 corporations to small businesses for over a century. The...
VP, Corporate Counsel, Asset-Based Finance - Prudential H2: Experienced Asset-Based Finance Lawyer Wanted in Newark, NJ Prudential is seeking a VP, Corporate Counsel with expertise in asset-based finance to join their team in Newark, NJ. This is a full-time...
Regulatory and Securities Attorney ... **MEMBERS ONLY**SIGN UP NOW***. ., a corporate, regulatory and securities law firm,... is seeking an experienced (5+ years) Regulatory and Securities Attorney to... advise clients on SEC regulatory and securities issues and... to provide...
Exciting Opportunity for Experienced Attorney The Opportunity: -... advice and counsel to support MassMutual’s retail investment adviser and broker-dealer. - This role offers... the opportunity to work with over 6,500 financial professionals nationwide and over $250 billion in clie...
The Financial Operations Regulatory Attorney VP position at... range of investment banking, securities, investment management, and wealth... is for a Vice President level attorney who will be responsible... for advising the Operations department on relevant legal and regulatory standards, contract...
retail investment advisor and broker-dealer. With over 6,500 financial... professionals nationwide and over $250 billion in client assets, this is a dynamic and fast-paced environment where your expertise will be essential. The Team: You will be a part of...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid) is a... sought-after role within the Regulatory Advisory and Transformation legal... group at Citi. This position offers a competitive salary range of $211, - $316, and is a full-time, remote hybrid position. The...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid) at Citi... and versatile lawyer to join their Regulatory Advisory and Transformation legal... group. This is a full-time, remote hybrid position that can be based in either New York, Ft. Lauderdale, or Irving...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid) H2: Remote... Senior Lawyer for Derivatives Regulatory and Transformation Legal Team... Title: Senior Lawyer for Derivatives Regulatory and Transformation Legal Team... Department: Legal - Enterprise Location: Remote Hybrid (New York, Ft. Lauderdale,...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid): A senior... legal role focusing on regulatory and business change projects... Providing legal advice on regulatory change developments impacting Citi,... including the potential impact of new regulations on business lines and legal entities. -...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid): -... Citi business lines, legal entity management teams, Compliance, and Regulatory Engagement teams - Provides... technical legal advice on banking & financial services regulatory change developments impacting Citi... - Advises on poten...
Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid) H2: Job Description... management teams, Compliance, and Regulatory Engagement teams - Provides technical... banking & financial services regulatory change developments impacting Citi -... of new regulations to Citi business lines and legal entities - Regulatory change implem...
years as a practicing attorney Location: Chicago, IL; Lenexa, KS;... by the SEC - Manage regulatory filings and work closely... with business and regulatory staff - Provide legal guidance... and advice on issues related to market data and access services and options business...
GA, seeks an experienced attorney to provide legal and... the financial services sector, including broker-dealers and registered investment advisers.... This position offers an opportunity to take ownership of client matters, provide strategic regulatory defense, and work in... a collaborative enviro...