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...
Title: VP, Wealth Management Advisory Attorney Job Responsibilities: - Provide day-to-day legal support for Company's Wealth Management's investment advisory business. - Offer legal analysis and advice regarding applicable rules, regulations, and legal risks related to fiduciary standards of care, trading, best execution, trade...
Title: Alternative Investment & Private Markets Attorney Job Responsibilities: The Alternative Investment & Private Markets Attorney will join Company’s Wealth Management Legal and Compliance Division as a Vice President. The primary responsibilities include providing legal coverage for the Alternative Investments and...
Title Wealth Strategist Market Manager - Private Bank Job Responsibilities - Direct and oversee the Wealth Strategy function, including critical measurements of the assigned market or group, while supporting the overall mission and vision of the business. - Coordinate and conduct...
Attorney Job Category: Associate Attorney Position Type: Full Time Education: Juris Doctor Experience: 2-4 Years Salary: $110,000 - $120,000 Job Responsibilities: The law firm is seeking an Associate Attorney to join their team, specializing in representing professionals from the financial services industry. The responsibilities of the Associate...
pay range and discretionary bonus may be adjusted based on the location in which the position is performed. H1: Senior Corporate Paralegal Law Firm Full-Time Silicon Valley, New York, San Francisco, Seattle, Santa Monica H2:...
Summary: The Securities/Blue Sky Paralegal at Greenberg Traurig (GT) is a highly skilled professional with a minimum of 5 years of corporate securities experience within a law firm. This role is responsible for providing organizational and practice-specific assistance to...
Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal at the law firm, you will be instrumental in providing quality legal services to clients. Your role will encompass a range of tasks that require precision, attention to detail,...
Title: Paralegal (Associate) Job Responsibilities: The Paralegal (Associate) at the company will be part of the in-house Legal team supporting the corporate and funds distribution group. The role involves various responsibilities that include: - Drafting, reviewing, and maintaining investment fund distribution agreements, placement...
Law Firm: **Members Only** Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
Title: Senior Legal Counsel Job Responsibilities: - Serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced environment. - Act as a trusted advisor and subject matter expert, delivering sophisticated legal...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will be responsible for providing comprehensive legal guidance to senior management and the business, supporting the entirety of the Wealth Management business. Key responsibilities include: - Advising senior management and...
Research and provide legal advice to business regarding FINRA regulatory and broker dealer... compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and other information. - Keep abreast of regulatory developments that impact...
issues. - Provide strategic guidance for client matters. - Draft and review legal documents, including contracts, agreements, and policies. - Negotiate on behalf of the company in business transactions. - Assist with compliance matters and ensure adherence to SEC and FINRA regulations. Education and Experi...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a key member of the Legal Risk Sustainability Compliance (LRSC) Team at the company, specifically supporting the company’s real estate investment funds. The role involves: - Advising...
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 of the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including...
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: Director, Counsel - Cash Management Job Responsibilities: The Director, Counsel role at the company is positioned within the Legal Department and is focused on supporting the Cash Management System business. The key responsibilities of this position include providing legal advice and...
Title: Associate (Senior) Job Responsibilities: The Associate (Senior) position at the law firm involves a variety of responsibilities focused on analyzing and assisting partners in identifying regulatory issues and formulating bespoke hedging structures. The role includes: - Advising and representing bank and corporate...
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...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
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...
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...
Litigation Paralegal - Legal Support at Securities Law Firm Job Overview: The ADR Litigation Paralegal position at a leading plaintiffs' securities litigation law firm is perfect for a mid-level paralegal with a strong background in litigation support. This role...
Title: Knowledge Management Data Steward – Transactions & Regulatory Job Responsibilities: The Knowledge Management Data Steward will be responsible for maintaining the quality, integrity, and consistency of data supporting the law firm's Corporate and Regulatory practices. As a member of the Knowledge...
spotting and application of federal securities laws affecting retail investment advice, including Regulation Best Interest, the Investment Advisers Act, FINRA rules, and state securities... regulations. - Conduct legal, factual, and benchmarking research and prepare summaries of risk/legal analysis. - Re...
policies and procedures, and supporting transactions and regulatory enforcement proceedings. Have experience in this area at a top law firm, financial institution or regulator, and significant familiarity with financial regulation, including SEC, FINRA, CFTC and other requirements... concerning regulated en...
Summary: The law firm of Patomak Global Partners is seeking an experienced Associate/Manager to join our growing team in New York City. This position will focus on CFTC/derivatives regulatory and compliance issues for our clients in the financial services...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the entire life cycle of new regulatory initiatives. - Act as a subject matter resource in one or more areas of legal expertise. - Advise the Board of Governors...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. Key responsibilities include advising the Board of Governors and advisory committees on complex and...
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 the company's affiliated . investment adviser. This leadership role...
Title: Securities Transaction and Compliance Coordinator Job Responsibilities: The Securities Transaction and Compliance Coordinator at the law firm is tasked with several critical responsibilities. The role primarily involves administering and supporting the internal pre-clearance policies and protocols for the purchase or...
Title: Associate, HONORS Program Job Responsibilities: The position of Associate in the Honors Program involves significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role provides substantial hands-on legal...
President – . Markets Investment Banking Compliance Advisory Apply remote type On Site locations New York, New York time type Full time posted on Posted 23 Days Ago time left to...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance and minimal supervision. - Collaborate...
is Hiring an Associate Director of Compliance **Members Only** is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers,...
Title:** Principal Intelligence Specialist **Job Responsibilities:** The Principal Intelligence Specialist is integral to the StratIntel mission within the organization's Member Supervision department. The role involves: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks to evaluate high-impact...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is a critical role within the Office of Strategic Engagements team in the Member Supervision department. The primary responsibilities include supporting the External Strategic Engagements leadership team in...
ongoing risk assessments of FINRA members, reporting directly to... a Risk Monitoring Director. This senior-level position supports the Risk Monitoring Director in identifying existing and emerging risks and interacts with both internal and external parties. Key responsibilities include: - Conducting risk...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a pivotal leadership role within the organization, responsible for overseeing a multitude of operational functions...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
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, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned...
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, part of the Member Supervision department. The role involves the collection, analysis, processing, and dissemination of...
ensure adherence to SEC, FINRA, and company regulations and... guidelines. - Attend alternative investments team meetings to foster relationships and track product launches in the pipeline. - Apply supervisory experience to consult/advise on marketing strategy and campaign development. - Assist in developing and...
Title: Managing Director, Risk Management and Compliance Job Responsibilities: The Managing Director, Risk Management and Compliance is tasked with providing a comprehensive risk management and compliance service to the law firm. This role reports directly to the General Counsel and collaborates with...
Title: Broker Dealer Marketing Compliance Job Responsibilities: - Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on regulations,...
Title: Equity Derivatives Contract Negotiator Job Responsibilities: - Negotiate a diverse array of trading agreements such as ISDA Master Agreements, Master Confirmation Agreements (MCAs), bespoke equity confirmations, Futures & OTC Clearing agreements, Cleared Derivative Execution Agreements (CDEAs), MSFTAs, Collateral Control Agreements (CCAs),...
Overview: A well-established, full-service law firm based in New York is seeking a Senior Corporate & Securities Attorney to join its Corporate Practice Group. This role is ideal for a highly experienced legal professional with extensive exposure to M&A transactions,...