Job Title: Senior Securities Counsel Job Responsibilities:... company’s business concerning FINRA regulatory and broker-dealer compliance issues.... - Manage communication and interaction with clients, service providers, and others regarding contract terms, conditions, and other pertinent information. - Keep updated on...
contracts for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and... technology affiliates as needed. - Advise on new product development and regulatory risk management decisions. - Provide... business leaders an...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Attorney - Investment Management Duties:... Provides general legal counsel to AMGs investment management business as well as specific advice on products services and certain legal actions. Reviews legal contracts and documents. Directly or through staff conducts legal research. May represent the bank in legal actions. Will lead a team ( attorney, paralegal) dedicated to supporting... company's alternative investment businesses and will be responsible for providing strategic, regul... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Compliance Associate / Tester The candidate will be responsible for performing moderately complex research, analysis, and monitoring of compliance issues relating to the fiduciary and broker-dealer businesses. Researching, analyzing, and... reporting on compliance related topics, issues and risks. Assisting in the development and coordination of compliance projects; regulatory implementations; policy, procedure and... training material updates; and data gathering for risk and issu... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Chief Counsel - Business & Finance Group/Senior-level Attorney/ Senior Securities Lawyer Duties: Handle... C&IB and the sales and trading functions of ALM. Will be the primary support for the securities businesses of C&IB (and... its three constituent broker-dealers) and the securities sales... and trading businesses... of ALM and provide legal guidance and support to internal PNC clients on an array of legal matters, which may include the following: Giving legal advice and support di... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Compliance Senior Associate (Control Room) Duties: Responsible for performing moderately complex research, analysis, and monitoring of compliance issues relating to the fiduciary and broker-dealer businesses. Researching, analyzing, and... reporting on compliance related topics, issues and risks Assisting in the development and coordination of compliance projects; regulatory implementations; policy, procedure and... training material updates; and data gathering for risk and issu... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Compliance Examiner The candidate’s major duties will be: Perform periodic compliance monitoring and testing of policies and procedures governing investment management, or broker/dealer, Investor Services and third-party... transfer agent functions and report findings and recommendations or resolution to Compliance Officers. Monitor foreign accounts and off-shore funds for compliance with applicable policies, procedures, rules and regulations. Assist in the development of com... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Senior Counsel The candidate will manage and handles complex government and regulatory enforcement actions and internal... investigations across all lines of business, including the retail and corporate banks, the asset management group, and the retail and institutional broker dealers. Will support the... AML/BSA and Enterprise Compliance functions, as well as provides day-to-day advice to the lines of business. Expertise handling government and regulatory enforcement actions that... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Managing Counsel- Asset Management- Broker-Dealer The candidate will support... the day-to-day legal needs of brokerage, distribution and investment advisory teams. Will be providing counsel to executive management, compliance and operational heads on regulatory developments and implementation, including... analysis of new rules/regulations. Negotiate agreements in support of business lines, including intermediary/selling, placement, solicitation and investment management agreemen... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Alternative Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other... documents required under the federal securities laws. Will coordinate with... compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here