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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Secretary / Assistant The candidate must be an experienced law office assistant to provide secretarial and bookkeeping services. Will join domestic relations, probate and criminal defense team. Should be able to write well and interact with courts and opposing counsel offices. Typical duties are preparing documents for filing with courts, correspondence and estate planning documents. Will also be responsible for making time-keeping entries from manual billing records,... 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Note: This job is no longer active.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 The candidate performs legal research to identify current law and changes in law, to locate case authorities or other law, to identify precedents, or to locate other information; conducts research of law library, electronic data sources, Internet sites, hardcopy materials, or other sources as needed. Reviews documentation received from attorneys; verifies appropriateness of submitted documentation for signature by judges. Coordinates communications between judg... 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Note: This job is no longer active.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
currently has the following opening in our headquarters located at 1 **Members Only** in interactions with securities regulators and sales force members, independently performs research on various compliance and legal issues and advises operatio... 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
Securities Compliance Officer The candidate will be responsible for assisting with FINRA and SEC regulatory inquiries... and examinations. Respond to regulatory inquiries from the securities divisions of each state in order to assist representatives in obtaining and maintaining registration approvals. Provide training to the sales force regarding Form U4 requirements and other regulatory requirements. Assist representatives in resolving outstanding debt, drafting statements, an... 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 The candidate works in the Securities Compliance Department of broker dealer/investment adviser. Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; interacting with securities regulator... 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 (Securities Compliance Attorney) The candidate works in the Securities Compliance Department of broker dealer / investment adviser. Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; in... 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 The candidate works in the Securities Compliance Department of broker dealer/investment adviser. Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; interacting with securities regulator... 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 (Securities Compliance Attorney) The candidate works in the Securities Compliance Department of broker dealer / investment adviser. Responsibilities include designing, implementing, monitoring and testing an effective system to ensure compliance with applicable laws and ethical standards; providing securities compliance advice to both registered representatives and home office personnel; timely and appropriately responding to regulatory agencies; in... 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
Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Assistant General Counsel (Attorney) Candidate will provide legal services on a variety of general corporate matters as requested, principally including contractual and compensation matters rel... 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
currently has the following opening in our new headquarters located at 1 **Members Only** has large independent contractor sales force and is seeking an attorney with contract expertise to provide legal services on a variety of contract and general legal matters, including contractual and compensation matters related to independent contractor sales force. Responsibilities include (1) preparing contract and... 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