Law Firm Seeking Securities and Capital Markets Mid-Level... a Mid-Level Attorney in Securities and Capital Markets H2:... Exciting Opportunity for a Securities and Capital Markets Attorney... - Seeking a securities and capital markets attorney... with 4-8 years of experience...
Job Title: Attorney - Securities Job Responsibilities: - Represent issuers and... and private offerings of securities. - Advise publicly traded companies... on compliance with the Securities Exchange Act of 1934. -... exchange listing standards and corporate governance. - Collaborate effectively within... a team environment to...
to join its growing Securities and Capital Markets practice... both public and private offerings of securities, as well as advising... publicly traded companies on compliance with federal securities regulations, corporate governance, and... exchange listing... standards. This position offers an excel...
The following jobs are no longer active but were real openings previously posted by employers.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.
Insurance Regulatory Attorney The candidate will provide advice across all business segments on legal and insurance regulatory issues. Negotiate numerous standard and complex corporate and commercial agreements ranging... from nondisclosure agreements to a variety of complex broking, consulting, investment, insurance, and other contracts while balancing appropriate legal and business risks. Work with cross-functional teams (corporate development, sales, strategy, marketing,... IT,... 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Note: This job is no longer active.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
Director LCO - Business Integration Duties: Serves as a key Local Compliance Officer for an assigned business line, global function or HTS, provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. Generally works under the direction of the SVP LCO, but in some cases may be the lead LCO. Develops and maintains appropriate compliance policies, programs, and contr... 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
President - Director LCO Duties: Serves as a key Local Compliance Officer for an assigned business line, global function or HTS, provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. Generally works under the direction of the SVP LCO, but in some cases may be the lead LCO. Develops and maintains appropriate compliance policies, programs, and controls for a... 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
Assistant General Counsel- Municipal Securities The candidate will provide... transactional and regulatory advice and documentary assistance to bankers, traders and salespeople in the bank’s Municipal Securities Division (MSD). Provide advice... on matters arising from municipal securities offerings, secondary market trading... of municipal securities, reinvest products, derivatives, tender... option bond programs and loans. Will be expected to be familiar with, or learn, applicable p... 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 Compliance Analyst - Research Clearance and Control Group The candidate will review investment research authored by company's equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable US and foreign securities laws, including, where appropriate,... suggesting edits to the research so it can be approved. The research to be reviewed includes fixed income and equity call notes, reports and marketing handouts on... 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
Sales Consulting Leader The candidate will build-out and expand the company’s Consulting service line in the Litigation Services group under company’s Professional Services organization. The VP will leverage deep consulting, business and technology acumen to establish new client relationships and build on existing client partnerships across corporate legal departments and law... firms. The Consultant will work with clients to identify their pain points, develop and deliver... 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 Compliance Officer The candidate will have strong working knowledge of fixed income products, securities, and derivatives. Primary responsibilities... include providing day-to-day Compliance advice relating to Government bond auctions, trading, suitability, new products, sales practices and guidance on fixed income regulatory rules/laws. Will provide guidance on rules and regulations relating to trading, sales practices, information barriers, trade reporting, and Dodd-Fr... 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
General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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 - Markets Regulatory Implementation The candidate... will report to the Compliance Director, Markets Regulatory Implementation. Will primarily... work with the Director to identify, develop and implement policies and procedures, processes, and controls pursuant to new laws, regulations, rules, and interpretations or guidance issued by US market regulators including the SEC and CFTC; FINRA, NFA, and other SROs; and international regulators as applicable. Will als... 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 - Equities The candidate will serve as an Equity Compliance Officer within company's Institutional Client Group (ICG), supporting Sales and Trading and general operations in Exchange Traded Derivatives (ETD), Futures, Cleared OTC, SEFs, FCM Financial Requirements, LSOC, and DCO Operations. Primary responsibilities include providing day-to-day Compliance advice relating to trading, sales practices, operations, financial requirements, position limits,... 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