Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage... communication and interaction with clients, service providers, and others regarding contract terms and conditions and other information. - Keep abreast of regulatory developments that impact regulated e...
The following jobs are no longer active but were real openings previously posted by employers.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.
Investment Officer-Mortgage Duties: Responsible for production of commercial mortgage loan investments, including origination and underwriting, on a national basis with specific coverage territories as agreed upon with the VP. Will work closely with legal and other team members, both in terms of underwriting new transactions and monitoring transactions within their portfolio in conjunction with the asset management function. Generate, analyze, negotiate, structure,... 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Note: This job is no longer active.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
Seeking an attorney with 2-6 years of broker/dealer and/or investment advisory experience... for the Corporate Law Division. Will provide securities and insurance regulatory advice to managers, employees and registered representatives of several broker-dealers and insurance distribution organizations... which conduct business in all 50 states. Will also conduct legal research on securities and insurance law matters, and draft and review compliance policies and procedures. Familia... 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Note: This job is no longer active.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
Counsel The candidate will be handling a high volume of contracts, regulatory and compliance issues in conformity with the Company’s practices and requirements and with precision, expertise, integrity and professional insight. Drafting agreements, which are legally sound and which reflect innovative industry understanding. Dealing with complex domestic and international legal and business matters. Providing expert legal advice and strategic advice to business partn... 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 Consultant 4 - Wholesale Bank Regulatory Compliance Duties: Work closely and in strong partnership with the business Compliance leads and the control executive teams to provide strategic direction, guidance, and advisory services to Wholesale Banking on various commercial regulations including the Federal Reserve Board Regulations K (International Operations), U (Credit for the Purchase of Margin Stock); R (Exceptions from Broker Dealer Definitions), 12 CFR... Part 2... 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
and Wealth Management Services Counsel The candidate will provide comprehensive counsel and oversight on a variety of trust, estate, and tax matters. Will review, counsel and approval of all trust and trustee activities and transactions. Work in close conjunction with other employees relative to all functions and transactions that involve trusts and estates in which company and/or its officers serve as Trustee, Trust Administrator and/or Portfolio Manager. Collaborate... 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
Corporate Attorney The applicant should be a qualified and licensed attorney and have recent working experience within either a broker-dealer, or a financial services... provider. Should have 4+ years of legal experience with skills and competencies that include: general contract drafting and negotiation; working knowledge of the Securities Act and Investment Company Act; and SEC/FINRA regulations as they pertain to the operation of a mutual fund and the obligations of a princi... 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
Corporate Contracts Attorney Duties: Review general corporate contracts, broker-dealer and dealer related contracts,... and client servicing contracts for the firm's respective business lines. Applicants must have 5+ years' experience in the area of contract law or corporate law. Undergraduate degree, law degree, relevent state or national licenses 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
By :Employer Organization Name :**Members Only** ("FFS") We our purpose is to pursue the highest ethical standards, to manage our business within the confines of a long-term orientation and to promote the best interests of our clients and our valued corporate relationships. position ourselves to leverage our complimentary business lines within the con... 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
an Attorney with 7+ years' extensive background in the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the rules and regulations thereunder. This will be the lead position providing advice to alternative investment group, which offers and sponsors alternative investment products. Duties include providing advice on new product developments, preparation, filing and management of all regulatory filings, disclosure and o... 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
an Attorney with 7+ years' extensive background in the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the rules and regulations thereunder. This will be the lead position providing advice to alternative investment group, which offers and sponsors alternative investment products. Duties include providing advice on new product developments, preparation, filing and management of all regulatory filings, disclosure and o... 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