its affiliates, and their respective employees, contractors, agents and various contributors are considered at-will employees and Truist reserves the right to terminate the employment of any employee at any time for any reason. Summary: - Sr....
Private Bank Team Lead Westchester - Managing Director - Greenwich, CT Salary: $300,, per year Experience: 10+ years in Private Banking or Financial Services, 5+ years in a leadership position H1: Join **MEMBERS ONLY**SIGN UP NOW***. as a . Private...
Compliance Manager locations Chicago, IL Stamford, CT time type Full time posted on Posted 5 Days Ago job requisition id 106819 About Northern Trust: Northern Trust, a Fortune 500 company,...
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handling various regulatory and enforcement- related matters including. Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other... regulatory authorities. Evaluating the legal and regulatory impact of new proposed business lines or offerings. Identifying necessary changes to the f...
General Counsel (Securities Litigation and Enforcement Responsibilities: Assisting the firm’s General Counsel in handling various litigation-related matters, including: Representing the firm in arbitration proceedings (both directly and in conjunction with outside counsel); Coordinating with outside counsel on court actions...
General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities...
inquiries from the SEC, FINRA, CFTC, CME, NFA, state... responding to the SEC, FINRA, CFTC, CME and other... regulators during onsite examinations of the firm. Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to...
Officer - Cyber Security, Books and Records The candidate will be responsible for the firm’s Books and Records, Cyber Security, Business Continuity and Data Integrity compliance. Working with firm management and programming staff to ensure the firm is in compliance...
Attorney The candidate will assist in negotiation of various agreements with counterparties including fund managers and distribution agents. Will draft and review of private fund offering materials, partnership agreements and other private fund legal documentation. Regulatory filing assistance. Advise on...
new proposed business lines or offerings. Advising the firm’s Compliance Department and various business lines on federal securities and commodities law, including federal statutes, SEC and CFTC rules, and SRO rules (., FINRA, NFA, CME, etc.) Identifying... necessary changes t...
Attorney - Vice President The candidate will represent private funds on a wide spectrum of matters including compliance and regulatory issues, capital raising, marketing, investor relations, fund formation and structuring, corporate transactional matters, etc. Will work closely with both the...
materials for SEC and FINRA compliance. Coordinate with various... review and approve all communications. Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules, laws, and regulations.... Conduct compliance monitoring programs related to...
Advisor (SAFE) II The candidate will be responsible for identifying prospective clients with investable assets of at least $3MM or more and bringing them to The Private Bank (TPB) within company Wealth Management (WM). Manages the relationships of high net...