Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel is responsible for providing securities-focused legal counsel to support the registered investment adviser (RIA) and related financial services entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements,...
Title: Summer Associate - 2026 1L & 2027 2L Job Responsibilities: The Summer Associate position at the law firm is designed to offer law students a comprehensive and immersive experience, providing them with valuable skills and exposure to various legal practice areas....
Compliance Department, which serves two Broker-Dealers and a Registered Investment... Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide guidance to business units across broker-dealers and registered investment advisers. -... Working directly with registered representa...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Manage primary and excess claims for various policy forms, particularly focusing on Employment Practices and Third-Party Liability claims. - Develop expertise in Fiduciary Claims. - Handle and manage complex Employment Practices Liability Claims to determine...