Title: Associate Department/Group: Corporate 34 Act Reports to: Department Head; Equity Partner FLSA Type: Exempt Hours: 40 hours plus; 9:00 am – 6:00 pm Office Attendance: Hybrid; Mandatory 3 days per week inclusive of Monday; additional days in office as required by the law...
Title: Vice President, Assistant General Counsel - AI Job Responsibilities: This role involves providing strategic legal counsel on the development, deployment, and oversight of artificial intelligence (AI) technologies across the company's broker-dealer and investment advisory operations. Key responsibilities include: - Advising...
Title: Vice President, Assistant General Counsel - AI Job Responsibilities: The Vice President, Assistant General Counsel - AI at the company is tasked with providing strategic legal counsel on the development, deployment, and oversight of artificial intelligence (AI) technologies within the...
Title: Wealth Management Advisory Attorney, Vice President Job Responsibilities: - Serve as a primary legal contact for a variety of legal issues within the Wealth Management business. - Provide legal support to broker/dealer field personnel, including call center staff, Regional and Complex Management,...
Title: Wealth Management Advisory Attorney, Vice President Job Responsibilities: - Serve as the primary legal contact for various legal issues within the Wealth Management business. - Provide legal guidance to broker/dealer field personnel, including call center staff, Regional and Complex Management, Divisional, Regional...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the lifecycle of new regulatory initiatives, including arbitration and mediation. - Advise the Board of Governors and advisory committees on complex regulatory initiatives and rule changes, with limited...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is tasked with providing senior-level legal advice and support throughout the entire lifecycle of new regulatory initiatives. This role requires serving as a subject matter expert in various legal domains,...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group of the department assists in responding to information requests received by the organization, its officers, and its employees. This includes handling third-party subpoenas issued in arbitration proceedings, civil, and criminal litigation...
Title: Paralegal 3 Job Responsibilities: The Paralegal 3 at Company is tasked with several key responsibilities that are crucial to supporting the legal functions within the organization. The role involves conducting legal research, preparing legal documents, managing files, and performing other routine...
Title: Business Litigation Associate Job Responsibilities: The Business Litigation Associate will be responsible for handling various aspects of business litigation within the law firm's Litigation Practice Area. Key responsibilities include: - Engaging in written discovery processes, taking and defending depositions, and drafting pleadings...
Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The Professional Liability Attorney will be responsible for defending professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The attorney will engage in direct representation...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the life cycle of new regulatory initiatives. - Act as a subject matter resource in areas of legal expertise including arbitration and mediation. -...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives. - Act as a subject matter resource in legal expertise areas, including arbitration and mediation. - Advise the Board of Governors and...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is tasked with rendering senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. Key responsibilities include advising the Board of Governors and organization advisory committees on complex...
Title Executive Director, Assistant General Counsel - Asset Management Job Responsibilities The Executive Director, Assistant General Counsel - Asset Management at the company is responsible for providing comprehensive legal coverage and oversight for the affiliated . investment adviser. This leadership...
Title: Executive Director, Assistant General Counsel - Asset Management Job Responsibilities: The Executive Director, Assistant General Counsel - Asset Management at the company is tasked with providing comprehensive legal coverage and oversight for an affiliated . investment adviser. This leadership position requires...
Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The primary responsibilities of the Professional Liability Attorney involve defending professional liability claims. This includes representing various professionals either through direct engagement or retention via their insurance carriers. The professionals represented include, but are not...
Title: Vice President, Assistant General Counsel - AI Job Responsibilities: - Provide strategic legal counsel for the development, deployment, and oversight of artificial intelligence (AI) technologies within the company's broker-dealer and investment advisory operations. - Advise on legal and regulatory issues pertaining to...
Title: Vice President, Assistant General Counsel - AI Job Responsibilities: - Provide strategic legal counsel on the development, deployment, and oversight of artificial intelligence (AI) technologies within the broker-dealer and investment advisory operations. - Advise on legal and regulatory issues related to the...
Title: Regulatory Attorney, Vice President Job Responsibilities: - Support the Company's Wealth Management business in developing and launching new product offerings. - Advise on compliance with new and existing industry rules and regulations. - Respond to regulatory inquiries and client issues. - Draft and amend...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter expert in legal areas such as arbitration and mediation. - Advise the Board of Governors and...
Title SVP, Chief Compliance Officer, Advice and Wealth Management and Retirement & Protection Solutions Job Responsibilities The Senior Vice President, Chief Compliance Officer for Advice and Wealth Management and Retirement & Protection Solutions is responsible for leading the design, implementation,...
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...
company's FX Markets, LLC, the company's SEF, LLC, a swap execution facility regulated by the Commodity Futures Trading Commission (CFTC), and the company's Fixed Income Markets, LLC, a broker-dealer regulated by the Securities and Exchange Commission (SEC) and FINRA. Th...
Title: Assistant General Counsel Job Responsibilities: - Handle lawsuits, arbitrations, and pre-litigation matters on behalf of the company and its affiliates. - Collaborate with outside counsel on litigation strategy and tactics. - Manage outside counsel in securities regulatory enforcement matters. - Oversee discovery processes, including...
Title: Associate (3 – 5 years) Job Responsibilities: Capital Markets Associates at the law firm play a crucial role in supporting clients through various securities transactions and financing activities. The primary responsibilities of this position include: - Advising clients on securities offerings, including...
Title: Associate (3 – 5 years) Job Responsibilities: The Capital Markets Associate at the law firm is tasked with supporting clients in various securities transactions and financing activities. Key responsibilities include: - Advising clients on securities offerings, such as equity and debt issuances. -...
Title: Staff Counsel Job Responsibilities: As a Staff Counsel within the company's Legal organization, the primary responsibilities involve serving as a trusted legal advisor to the ECR group. The role requires providing guidance on complex issues and customer correspondence, ensuring exceptional attention-to-detail...
Title: Litigation Legal Assistant Job Responsibilities: The Litigation Legal Assistant is responsible for providing sophisticated administrative and litigation support to shareholders and associate attorneys dealing with complex legal matters. This role requires a highly organized and detail-oriented professional who can manage a...
LLC, the company's SEF, LLC, a swap execution facility regulated by the Commodity Futures Trading Commission (CFTC), and the company's Fixed Income Markets, LLC, a broker-dealer regulated by the Securities and Exchange Commission (SEC) and FINRA. The position is located......
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 handling cases involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The attorney will...
Liability Associate Attorney Job Title Professional Liability Associate Attorney Job Responsibilities The selected candidate will be part of the Professional Liability Practice at a law firm, focusing on defending professional liability claims. The primary responsibilities include: - Conducting thorough research and drafting...
Title: Professional Liability Attorney Job Responsibilities: The attorney will be responsible for defending professional liability claims. This includes working on cases involving insurance agents, real estate agents, accountants, architects and engineers, legal malpractice, and errors and omissions. The role involves representation...
Title: WM Trust Officer Job Responsibilities: The WM Trust Officer is responsible for the administration, risk management, and servicing of assigned fiduciary and investment management accounts. This role may involve relationship management responsibilities as well as specialized product knowledge and expertise, including...
Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients. - Develop and deepen client relationships through needs-based, high-level client service and delivery of the full suite of wealth solutions. -...
Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients, focusing on developing and deepening client relationships through needs-based, high-level client service. - Deliver the full suite of company wealth...
Title: Wealth Strategist Sr. - **Members Only** Job Responsibilities: - Develops, consults on, and implements tax, estate, and financial plans for clients, including those of the greatest complexity. - Collaborates with other planning resources on specific subject matters of greatest complexity and partners in...
Title: Capital and Transversal Risk Team Lead Job Responsibilities: The Capital and Transversal Risk Team Lead is responsible for establishing and managing a cross-disciplinary team focused on enhancing Market Risk Management (MRM) execution and governance at the company. The role involves providing...
Title: Capital and Transversal Risk Team Lead Job Responsibilities: - Lead a cross-disciplinary team within the company's Market Risk organization, ensuring effective Market Risk Management (MRM) execution and governance. - Provide strategic oversight of capital-related processes, ensuring robust governance across regulatory and transactional...
Title: Capital and Transversal Risk Team Lead Job Responsibilities: The Capital and Transversal Risk Team Lead at the company is responsible for establishing and managing a cross-disciplinary team that focuses on enhancing Market Risk Management (MRM) execution and governance. The role provides...
Title Asset & Wealth Management, Private Family Office Financial Planning Advisor, Vice President Job Responsibilities The Family Office Financial Planning Advisor at the Vice President level is responsible for managing client relationships and leading a team of financial planners and...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator is responsible for providing high-level administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate offices. The role...
Title: Senior Counsel - Investment Grade Debt Capital Markets Origination Job Responsibilities: - Lead or participate in moderately complex initiatives and deliverables, contributing to large-scale planning. - Review and analyze moderately complex challenges requiring in-depth evaluation of variable factors. - Provide...
policies, and industry practices. - Lead the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements. -... Partner with business leaders, legal, risk, and operations teams to provide compliance expertise for new products and initiatives. - Proactive...
Title: Equity Capital Markets Lawyer (Assistant General Counsel - VP) Job Responsibilities: - Lead complex initiatives with broad impact and act as a key participant in large-scale planning. - Handle matters that significantly impact the company's operations, strategies, or profitability. - Review and...
with partners and other attorneys to execute capital markets transactions and assist clients in compliance with SEC, FINRA, Stock Exchange, and other... securities-based legal clients on initial public offerings, secondary offerings, and other securities , review, and negotiate vario...