Title: Director, Legal Counsel- Alternative Investment Platforms Job Responsibilities: - Provide legal advice related to strategic and growth initiatives concerning alternative investment platforms. - Draft and negotiate intermediary agreements with third-party alternative investment providers and issuers. - Offer legal guidance...
Liability Attorney Job Responsibilities The Professional Liability Attorney will be part of the Professional Liability Practice at the law firm. The main responsibilities include: - Defending professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Conducting...
Title Senior Wealth Strategist - **Members Only** Job Responsibilities As a Senior Wealth Strategist within the Private Bank organization of the company, the primary responsibilities include developing, consulting on, and implementing tax, estate, and financial plans for clients, especially those with...
Title: Private Banker Job Responsibilities: - Develop and manage relationships with high-net-worth and ultra-high-net-worth individuals and families within a specific market. - Provide integrated financial services advice, including banking, credit, asset management, trust and estate planning, and brokerage. - Ensure relationship profitability and portfolio...
Title: Private Banker Job Responsibilities: - Develop and manage client relationships with high-net-worth and ultra-high-net-worth individuals and families within a specific market. - Provide integrated financial services advice, including banking, credit, asset management, trust and estate planning, and brokerage. - Manage overall relationship profitability...
Title: Tax Liaison Sr. - Fiduciary and Estate (Enrolled Agent) Job Responsibilities: 1. Coordinate with an outside vendor responsible for preparing tax returns to address fiduciary compliance needs. Provide necessary information for tax preparation, consult on moderate to complex tax issues, and...
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the bank's full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including Delaware...
business, including SEC, CFTC, FINRA, NFA requirements. - Advising on... activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters...
Title: Associate General Counsel Wealth Job Responsibilities: - Provide commercial and comprehensive legal guidance to senior management and the business, supporting the entirety of the company's Wealth Management business. - Advise senior management and other stakeholders on a wide range of legal and...
Title: Legal Counsel Job Responsibilities: - Serve as a trusted adviser to executives, in-house attorneys, and business partners by providing practical, business-focused legal guidance on corporate, transactional, litigation, and regulatory matters. - Draft, review, negotiate, and interpret a wide range of contracts and...
IPOs, de-SPAC business combinations, follow-on offerings, registered direct/ATM offerings, PIPEs, and private placements. - Draft and negotiate offering documents, including registration statements, underwriting agreements, prospectuses, and disclosure schedules. - Advise clients on compliance with SEC, FINRA, and stock exchange regulations,... as w...
Branch Office Administrators, HQ, and CWF candidates in both the US and Canada. - Apply knowledge of EEOC, the Fair Credit Reporting Act, state, local, and international employment ordinances, federal and state criminal and civil codes, employment law, insurance, FINRA, a...
Title: Government Investigations Specialist Job Responsibilities: The Government Investigations Specialist is an integral part of the Government Investigations team within the Law Division at **Members Only**. The position entails significant responsibilities that include: - Responding to complex and high-risk third-party government subpoenas on behalf...
Title: Impact Finance - Transition Manager Job Responsibilities: The Impact Finance - Transition Manager is accountable for the oversight of onboarding activities related to tax credit investments, syndications, and loans facilitated by the company's Impact Finance division. The primary responsibilities include transitioning...
teams, ensuring smooth coordination and information exchange across all assignments. - Maintain accurate calendar systems for deadlines, including litigation, FINRA, and other arbitration hearings... in collaboration with legal assistants, secretaries, and docketing staff. - Oversee the creation, indexing, and ma...
business, including SEC, CFTC, FINRA, and NFA requirements. - Providing... legal guidance on activities related to limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with...
and related strategic initiatives. - Advise on regulatory issues relevant to the . client-facing business, including SEC, CFTC, FINRA, and NFA requirements. - Advise... on activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing, and disclosure rules....
Title: Associate General Counsel - Wealth Job Responsibilities: The Associate General Counsel will be responsible for providing comprehensive legal guidance to the senior management and business operations of the Wealth Management Division at the company. The role involves advising on a wide...
Title: Professional Liability Associate Attorney Job Responsibilities: - Work with an experienced trial team in the areas of Real Estate and Personal Injury defense. - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Represent...
Title Professional Liability Associate Attorney Job Responsibilities The Professional Liability Associate Attorney will be responsible for defending professional liability claims. This includes working with professionals such as insurance agents, real estate agents, accountants, architects and engineers, as well as handling...
Liability Attorney Job Title: Professional Liability Attorney Job Responsibilities: The Professional Liability Attorney will be responsible for defending professional liability claims. This includes working on cases involving insurance agents, real estate agents, accountants, architects, engineers, legal malpractice, and errors & omissions. The attorney...
Title: Professional Liability Attorney Job Responsibilities: The Professional Liability Attorney will be responsible for defending professional liability claims across a variety of professions. The candidate will work within the Professional Liability Practice, engaging in litigation involving claims against insurance agents, real estate...
Title: Manager, Broker-Dealer Compliance Job Responsibilities: - Provide senior compliance oversight for all aspects of **Members Only** Capital Markets (CCM), including trading, reporting, policies, procedures, and training. - Coordinate closely with cross-functional partners in Legal, Operations, Risk, Tax, Finance, and Audit to ensure a...
Title: **Members Only** Relationship Manager Job Responsibilities: - Serve as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble an extended advisory team, including trust, investment, and planning strategists, based on...
Title: **Members Only** Relationship Manager Job Responsibilities: The Relationship Manager (RM) at **Members Only** is central to fulfilling the company's promise to clients by acting as the primary advisor. The RM's responsibilities include recommending banking, borrowing, and investment solutions tailored to help clients achieve...
Title: **Members Only** Sr Relationship Manager Job Responsibilities: - Acts as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Leads and coordinates the extended advisory team, including trust, investment, and planning strategists, tailored to...
Title: Senior Relationship Manager Job Responsibilities: - Act as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble the extended advisory team, including trust, investment, and planning strategists, based on...
Title: **Members Only** Relationship Manager Job Responsibilities: The **Members Only** Relationship Manager (RM) is pivotal in delivering the company's client promise, acting as the primary client advisor. The RM's core responsibilities include recommending banking, borrowing, and investment solutions tailored to help clients achieve their...
Title: Key Private Bank Relationship Manager Job Responsibilities: - Act as the primary client advisor by recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble the extended advisory team, including trust, investment, and planning...
Title **Members Only** Senior Relationship Manager Job Responsibilities - Acts as the primary client advisor by recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Leads, coordinates, and assembles the extended advisory team, including trust, investment,...
Title: **Members Only** Relationship Manager Job Responsibilities: - Serve as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble the extended advisory team, including trust, investment, and planning strategists, based on...
Title: Senior Trust Officer Job Responsibilities: The Senior Trust Officer is responsible for the administration, risk management, and servicing of assigned fiduciary and investment management accounts. This may include Relationship Management responsibilities and product specialty knowledge and expertise in areas such as...
Title: Compliance Officer, Securities Job Responsibilities: The Compliance Officer, Securities, plays a crucial role within the Securities 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...
Title: Professional Liability Partner Job Responsibilities: The Professional Liability Partner will be responsible for defending professional liability claims involving various professionals such as Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The role requires strong research...
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,...
responsible for representing broker/dealers, life insurance carriers, financial institutions, investment advisory firms, and their employees in a variety of legal matters. Key responsibilities include: - Handling securities and shareholder litigation across multiple jurisdictions. - Managing FINRA customer arbitration claims, which... may i...
Title Professional Liability Attorney Job Responsibilities The Professional Liability Attorney will be responsible for defending professional liability claims. This includes working with cases involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The attorney will be expected...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be an integral part of the Legal, Risk, Sustainability & Compliance team at the company, focusing primarily on supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
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 and will act as in-house counsel dedicated to supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: - Advise on a wide array of legal and regulatory matters concerning the formation, structuring, distribution/marketing, and operation of private funds. This includes preparing and negotiating private placement memoranda, partnership agreements, term...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
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, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will serve as in-house counsel for the company's real estate investment funds as part of the Legal Risk Sustainability Compliance (LRSC) Team. Responsibilities include: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to the investigations and decisions regarding disciplinary actions against individuals and organizations in the financial industry. This entry-level position provides associates with substantive...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program are tasked with contributing significantly to Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. The role provides substantive hands-on legal experience, enhancing...
OverviewA law firm seeks a Business Litigation Associate in San Francisco, California. The ideal candidate will join a dynamic team providing comprehensive legal solutions to a diverse client base, including Fortune 500 companies and startups. The firm is known for...