Title: Senior Legal Counsel Job Responsibilities: - Support the Associate General Counsel in advising and supporting a wide range of legal matters across global business units with a focus on: - Assisting product teams in the design and implementation of new products...
Title: Alternative Investment & Private Markets Attorney Job Responsibilities: The Alternative Investment & Private Markets Attorney will join Company’s Wealth Management Legal and Compliance Division as a Vice President. The primary responsibilities include providing legal coverage for the Alternative Investments and...
Title: Head of Advisory Job Responsibilities: The Head of Advisory position requires an individual who possesses a deep understanding of . sanctions laws and regulations, particularly those of the Office of Foreign Assets Control (OFAC). The role involves familiarity with other sanctions...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a significant role in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, focusing on both existing and emerging risks. - Report to a Risk Monitoring Director, supporting them in identifying risks and interacting with both internal...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
VP, Corporate Counsel, Asset-Based Finance - Prudential H2: Experienced Asset-Based Finance Lawyer Wanted in Newark, NJ Prudential is seeking a VP, Corporate Counsel with expertise in asset-based finance to join their team in Newark, NJ. This is a full-time...
Job Title: Broker Dealer Marketing Compliance Job Responsibilities: -... Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on...
Title: Senior Counsel - IP Special Deals & Analytics Job Responsibilities: - Manage intellectual property (IP) deals and negotiations using data-driven analysis and innovative approaches. - Negotiate, value, and draft IP license, acquisition, and settlement agreements. - Identify key existing and emerging areas of...
Title: Senior Counsel - IP Special Deals & Analytics Job Responsibilities: - Manage intellectual property (IP) deals and negotiations using data-driven analysis and innovative approaches. - Negotiate, value, and draft IP license, acquisition, and settlement agreements. - Identify key existing and emerging areas of...
Attorney Job Category: Associate Attorney Position Type: Full Time Education: Juris Doctor Experience: 2-4 Years Salary: $110,000 - $120,000 Job Responsibilities: The law firm is seeking an Associate Attorney to join their team, specializing in representing professionals from the financial services industry. The responsibilities of the Associate...
Title: Insurance Transactional + Regulatory Associate Job Responsibilities: The Insurance Transactional + Regulatory Associate will join the Insurance Transactional + Regulatory Practice Group at the law firm. The primary responsibilities include: - Navigating the complex landscape of insurance laws, regulations, and corporate transactions. -...
Law Firm: **Members Only** Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
Title: Senior Legal Counsel Job Responsibilities: - Serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced environment. - Act as a trusted advisor and subject matter expert, delivering sophisticated legal...
business, supporting the entirety of the Wealth Management business. Key responsibilities include: - Advising senior management and other stakeholders on legal and compliance issues within the Bank’s wealth management business, including RIA, Broker Dealer, and Trust offerings... and services....
all aspects of the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including... Delaware trust) offerings and services. - Develop and support the implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regula...
Title: Sr. Claims Specialist - Financial Institutions Job Responsibilities: - Handle and manage a wide variety of Management Liability Claims, including Bankers Professional Liability (BPL), Investment Advisors, Private Equity Errors and Omissions (E&O)/D&O, and Insurance Company Professional Liability (ICPL). Experience with Transactional...
Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Manage complex Employment Practices Liability (EPL) claims and determine appropriate valuation and settlement strategies while ensuring adherence to company policies. - Develop knowledge and expertise in Fiduciary Claims, with experience in this area being...
Title: D&O Insurance Coverage Associate Job Responsibilities: The D&O Insurance Coverage Associate will be joining the law firm's esteemed Global Insurance Department. The candidate will be responsible for analyzing professional liability coverage issues and preparing coverage opinions. The role is focused on...
candidate will work on broker-dealer and derivatives regulation. Matters... will include providing regulatory advice, preparing regulatory applications, developing policies and procedures, and supporting transactions and regulatory enforcement proceedings. Have experience in this area at a top law firm, financial institution...
TITLE Legal, Structured Finance Attorney, Vice President JOB RESPONSIBILITIES - Provide legal counsel and advice supporting the firm's Structured Finance and Mortgage businesses. - Advise business teams on structured finance transactions, including commercial mortgage and mezzanine loan transactions, commercial mortgage...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: The Chief Privacy Officer (CPO) and Senior Vice President, Associate General Counsel at the company is a pivotal leadership role within the legal department, tasked with managing a team of privacy attorneys...
Title: US Advisor Attorney-Vice President, Assistant General Counsel Job Responsibilities: - Manage legal coverage for the . Funds Management business. - Oversee the creation and management of mutual funds and exchange-traded funds. - Advise on regulatory developments and their implementation. -...
& Derivatives Associate Position Job Title: Associate Position Job Responsibilities: The Futures & Derivatives Associate will be part of the Futures and Derivatives practice at the law firm. The role involves advising financial market participants on various aspects of US commodity, futures, and derivatives...
issues under federal securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and providing opinions. - Handling broker-dealer and investment adviser status... issues. - Providing counsel regarding broker-dealer and investment adviser registration... and compliance. - Setting u...
Research and provide legal advice to business 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...
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 informed on legislation a...
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...
Title: Senior Legal Counsel Job Responsibilities: - Analyze new and existing products and services to identify risks and ensure compliance with applicable regulations, particularly focusing on the Investment Advisers Act. - Identify and mitigate risk implications while providing legal advice in connection with...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a key member of the Legal Risk Sustainability Compliance (LRSC) Team at the company, specifically supporting the company’s real estate investment funds. The role involves: - Advising...
branch and an SEC-registered broker dealer. - Counsel on legal... and regulatory issues, conduct legal research, and review documentation for financial transactions. - Present updates to senior management and manage corporate governance in support of CIB under the supervision of the General...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, serving as the in-house counsel for the company's real estate investment funds....
Title: Senior Director, Senior Managing Counsel Job Responsibilities: The Senior Director, Senior Managing Counsel at Company plays a pivotal role in the Legal department, reporting directly to the Head of Legal for Company Pershing/Company Wealth Services. The primary responsibilities include: - Acting as...
negotiate contracts for a variety of advisory, brokerage, technology, and operational services within Pershing. - Provide general legal support to broker-dealer, registered investment adviser, and... technology affiliate as needed. - Advise on new product development and regulatory risk management decisions. - Provide busin...
Title: Underwriting Technical Specialist, Tax Underwriting Job Responsibilities: The Underwriting Technical Specialist in Tax Underwriting is responsible for managing tax-related risks and ensuring proper underwriting practices are followed. Key responsibilities include: - Sourcing and analyzing tax liability insurance...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Title: Anti Money Laundering (AML) Consultant Job Responsibilities: As an AML Consultant, you will be part of the company's Regulatory, Risk & Forensic team, which aids clients in navigating complex risk and regulatory environments. Your primary responsibilities include: - Developing and maintaining strong...
or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker-dealers. As an Associate... Director of Compliance, you will: - Lead or Support an entire sales cycle; pitches, proposals, follow-ons and general co...
Title: Senior Consultant - Anti-Money Laundering (AML) Job Responsibilities: As a Senior Consultant in the Anti-Money Laundering domain, you will be part of a team that assists clients in navigating complex regulatory environments and implementing effective compliance measures. Your responsibilities will include: -...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Conduct risk monitoring...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a pivotal leadership role within the organization, responsible for overseeing a multitude of operational functions...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Tax Manager - Mutual Funds Job Responsibilities: As a Tax Manager at the company, you will utilize your expertise in accounting and taxation to provide comprehensive tax compliance and consulting services to clients within the Investment Management sector. Your responsibilities will...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert level position within the Strategic Intelligence & Analytics (StratIntel) organization, part of the Member Supervision department. The role involves the collection, analysis, processing, and dissemination of...
The ideal candidate will have experience in fund formation, investment management, and/or broker-dealer regulation. The role involves... providing strategic counsel to insurance companies and other industry stakeholders, ensuring compliance with regulatory frameworks while facilitating corporate legal counsel on insura...