and Securities Associate Position at Prestigious Law Firm in San Francisco, New York, or Denver H1: Join Our Team as a Corporate and Securities Associate at a Top Law Firm in San Francisco, New York, or Denver H2:...
Markets Partner The candidate will serve as a business advisor to clients, guiding them on compliance with securities laws, managing public and private offerings, and navigating complex capital markets transactions. Serve as a strategic advisor to clients, often working closely...
Title: Knowledge Management Data Steward – Transactions & Regulatory Job Responsibilities: The Knowledge Management Data Steward is responsible for maintaining the quality, integrity, and consistency of data that supports the law firm's Corporate and Regulatory practices. The role involves working closely with...
HONORS Program Job Responsibilities: FINRA Enforcement Associates in the... Honors Program play a crucial role in contributing to Enforcement's investigations and making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These Honors Associates...
with various other motions. - Engage in forums including state (primarily Colorado) and federal courts, as well as arbitration forums such as JAG, JAMS, and FINRA. - Conduct minor trial and... deposition examinations. - Review and summarize deposition testimony. - Handle subject matters...
discovery management, depositions, trial preparation, and trial practice. - Work in state (primarily Colorado) and federal courts, and arbitration forums such as AAA, JAG, JAMS, and FINRA. - Appear in court and... assist in developing business. - Handle legal matters that include...
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: . Private Bank – Market Team Lead – Managing Director Job Responsibilities: - Manage and build relationships with clients by earning trust, thoroughly understanding client needs, providing targeted advice, developing thoughtful solutions, and delivering an exceptional client experience. - Generate business results...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
Title Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. This includes setting a multi-year strategic...
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, which is part of the Member Supervision department. This role involves utilizing an expanded skillset and expertise...
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...
other states in which our trial counsel are admitted. In addition to court actions, our cases include commercial arbitrations and FINRA arbitrations. Please browse our... web site for a list of our common areas of practice. Our litigation associates’ responsib...
Markets Partner The candidate will serve as a business advisor to clients, guiding them on compliance with securities laws, managing public and private offerings, and navigating complex capital markets transactions. Serve as a strategic advisor to clients, often working closely...
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...