Research and provide legal advice to the 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 regula...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep...
Manage and negotiate contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk manageme...
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The following jobs are no longer active but were real openings previously posted by employers.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.
Compliance Associate / Tester 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 issue summaries fo... 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Note: This job is no longer active.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
Associate and Counsel (Securities) The candidate will help serve the firm's dynamic clients. Should have in-depth securities experience of 5+ years in the following areas: public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934), registration and listing of securities, debt obligations and knowledge of NASDAQ and NYSE Rules, reporting on Forms 10-K, 10-Q, and 8-K, proxy statements for annual and special shareholder meetings, s... 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
Associates to Counsel-Level (Securities) The candidate Should have 5+ years securities experience in the following areas: Public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934); Registration and listing of securities, debt obligations and knowledge of NASDAQ & NYSE Rules; Reporting on Forms 10-K, 10-Q and 8-K; Proxy statements for annual and special shareholder meetings; Section 16 Reporting (Forms 3, 4 and 5); Compliance... 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
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
Firm Securities Mid-Level Associates to Counsel-Level Law Firm is seeking experienced securities attorneys to join its expanding group, ranging from mid-level associates to counsel-level. This is an opportunity to join a sophisticated and entrepreneurial practice in a collegial and supportive environment. Ideal candidates should have 4-6 years of experience in the following areas: - Public company rules and regulations (Securities Act of 1933, the Securities Exch... 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
Firm is looking for Securities Attorneys from Mid-Level Associates to Counsel-Level Law Firm is seeking experienced securities attorneys ranging from mid-level associates to counsel-level to join their expanding group. This is an opportunity to join a sophisticated and entrepreneurial practice in a collegial and supportive environment. The desired candidates should have in-depth experience (4-6 years) in the following areas: Experience Required: Pu... 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
AVP Claim Technical Officer - Professional Lines First Party and Dedicated Professional Liability Claims The candidate will be the technical leader and subject matter expert responsible for driving all aspects of claims technical excellence for the following product lines: first-party Cyber and Fidelity coverages and professional liability coverages encompassing cyber and technology, media professional liability, life agent and broker-dealer professional liability and our... mi... 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 Associates and Counsel The candidate must have in-depth 7+ years of experience in the following areas: Public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934); Registration and listing of securities, debt obligations, and knowledge of NASDAQ and NYSE Rules; Reporting on Forms 10-K, 10-Q and 8-K; Proxy statements for annual and special shareholder meetings; Section 16 Reporting (Forms 3, 4, and 5); Compliance with 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
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