Job Title: Fintech & Financial Services Of Counsel Job Responsibilities: The Fintech & Financial Services Of Counsel will address a variety of issues under federal securities laws. This includes dealing with Investment Company Act status issues and opinions, as well as broker-dealer and investment adviser status issues. The role involves counseling regarding the registration and compliance of broker-dealers and investment advisers. Additionally, the position requires setti
Job Title: Operations Counsel - Legal Counsel (Hybrid) Job Responsibilities: - Provide in-house legal and regulatory advice concerning topics affecting the insurance and financial services industries. - Offer legal counsel to operational teams and draft contracts, policies, and procedures. - Occasionally interface with regulatory authorities and report to management on changes in applicable law and regulatory trends in the industry. - Render practical, timely, and high-quali
Job Overview: A prominent law firm is seeking a Corporate Associate with 4–6 years of experience advising public companies and handling capital markets transactions. This position involves guiding clients through SEC compliance, corporate governance matters, and a variety of securities offerings. The role is ideal for professionals looking to contribute to a sophisticated corporate practice, particularly in the technology and life sciences sect
The following jobs are no longer active but were real openings previously posted by employers.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.
Corporate Compliance and Ethics Counsel Duties: Report directly to the firm's Chief Compliance & Ethics Officer, and will play an active role in the development, implementation, and continuous improvement of the firm's global Compliance and Ethics Program. Will be a significant individual contributor (non-manager) that will be tasked to manage internal investigations around the world, train the firm's employees at all levels of the organization, interface with the firm's bus 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Note: This job is no longer active.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
Lead Compliance Vendor Program Specialist Duties: Ensure third-party compliance with applicable laws and regulations affecting products. Ensure new and existing practices, policies, procedures, and training operate as effective controls to mitigate legal and regulatory risk. Leads assessments within vendor management program. Evaluate and score due diligence materials related to a third-party service provider’s compliance management systems and abilities to comply with app... 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
Deposits Compliance Officer Duties: The candidate ensures that deposit products offered and/or serviced through Ameriprise Bank are fully compliant with company policy and all applicable regulations. Works closely with the department managers; develops compliance policies: advises business leaders on compliance procedures; reviews and implements regulatory changes. Works closely with the Bank’s Risk Management and Controls team and various departments in identifying, defin... 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
Public Companies Associate The candidate should be a mid- to senior-level corporate associate with experience in public company reporting compliance and governance and the day-to-day issues that arise for public companies, such as Regulation FD and disclosure matters, Nasdaq/NYSE compliance, officer and director stock sale transactions and reporting, and capital markets transactions. Superior academic credentials are required. 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, Enterprise Risk Management – Regulatory Compliance Duties: The candidate will be strategically managing complex environmental legal issues surrounding critical business issues, including supervising outside counsel and consultants and carefully managing budgets. Proactively advising business and Legal Affairs colleagues regarding environmental compliance and global company risk. Partnering with business and specialist lawyers to mitigate risk. Contributing ... 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
Ethics and Compliance Counsel The candidate will manage global investigations program including reviewing reports made to eBay’s Integrity Helpline and, in collaboration with management, conducting investigations of reported misconduct, including extracting and analyzing data, developing investigation plans, collaborating with partners including Legal, People, and Security, and interviewing witnesses and subjects as needed. Maintain records of investigations case files. De... 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 Officer The candidate will be responsible for the company’s compliance with all applicable legal and regulatory requirements. Develop and enhance the company’s compliance policies, processes, and training. Provide oversight and direction of internal compliance reviews and audits. Participate as a management representative on the company’s board of directors’ compliance committee. Work in regulatory and legislative matters, including drafting comments for r... 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, Compliance, Ethics & Litigation the candidate will be responsible for developing and documenting ethics and compliance policies and procedures; will maintain, implement, and manage all training on compliance-related subjects and hot-line processes. Defends, supervises, and manages commercial, trademark, real estate, and employment-related claims and litigation, including managing outside counsel and responding to administrative charges, complaints, attorneyâ€... 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
Salt Lake City office of a **Members Only** Top Ranked Law Firm seeks mid-level to senior corporate public companies associate attorney with experience. The candidate should have experience in public company reporting compliance and governance and the day-to-day issues that arise for public companies, such as Regulation FD and disclosure matters, Nasdaq/NYSE compliance, officer and director stock sale transactions and reporting, and capital markets transactions. 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
Salt Lake City office of our client seeks a compliance vice president with 3+ years of experience in CFTC, SEC, and NFA swap dealer regulations. The candidate will assist in responding to regulatory inquiries, audits, examinations, and investigations, and liaising with regulators (SEC, CFTC & NFA). Assist the Swap Dealer team with advisory coverage of swap dealers including the sales and trading activity in the . office, as well as the global impact of the relevant . re 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