with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be a key member of the company's Legal Risk Sustainability Compliance (LRSC) Team, specifically focusing on supporting the company's real estate investment funds. The primary responsibilities...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
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...
Title: Knowledge Management Data Steward – Transactions & Regulatory Job Responsibilities: - Serve as the primary data steward for Corporate Transactions related data assets across repositories and systems, including tracking data for M&A, finance, capital markets, regulatory filings, and related matters. - Design,...
Title: Legal Wealth Advisor II Job Responsibilities: A Legal Wealth Advisor II is tasked with the origination and ongoing management of a profitable loan, deposit, fee income, and non-interest income portfolio from attorneys and small to mid-sized law firms. This involves developing...
Title: Wealth Management Advisory Attorney Job Responsibilities: The Wealth Management Advisory Attorney will serve as a primary legal contact for a wide range of legal matters within the Wealth Management business. This includes providing legal support to broker/dealer field personnel, which encompasses...
Title: Labor & Employment Junior Associate Job Responsibilities: The Labor & Employment Junior Associate will be responsible for a variety of tasks within the labor and employment practice. Key responsibilities include: - Providing employment counseling to clients, assisting them with understanding and complying...
matters influencing the financial services landscape. - Address sophisticated commercial, business, and securities litigation issues. - Represent clients in trials, arbitrations, and regulatory proceedings before entities such as the SEC, FINRA, and state agencies. - Serve... as a trusted advisor to financial...
Title: VP, Field Advisory Legal Job Responsibilities: The VP Attorney for Field Advisory Legal will serve as a primary legal contact for a wide array of legal issues within the Wealth Management business. This role involves providing legal support...
retail equities, options, and futures trading. Key responsibilities include: - Providing legal and regulatory advice to the business and other partners on issues related to retail equities, options, and futures trading. - Interpreting and advising on SEC, FINRA, CFTC, NFA, and ot......
Title: Assistant General Counsel Job Responsibilities: - Acts as a subject matter expert, providing business leaders with legal advice on issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. Ensures that business activities, policies, practices, and transactions comply with relevant...
Title: General Liability/Professional Liability Associate Attorney Job Responsibilities: The General Liability/Professional Liability Associate Attorney will be part of the General Liability and Professional Liability Practices within the law firm's Dallas, TX office. The attorney will be responsible for representing clients in...
ongoing risk assessments of FINRA members. - Report to a... Risk Monitoring Director and support in identifying existing and emerging risks. - Interact with internal and external parties for effective risk management. - Handle complex or elevated risk firms with guidance and minimal...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with internal and external parties. - Conduct risk monitoring activities, including complex or elevated risk firms,...
Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the department at the organization, focusing on enhancing investor protection and market integrity through informed regulatory decisions. Key responsibilities include: - Leading complex analytical projects...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks while interacting with internal and external parties. - Conduct risk monitoring...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Monitor complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department. The incumbent is responsible for: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as a strategic leader for the Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and oversee the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, which include over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of Strategic Intelligence & Analytics (StratIntel) within the organization’s Member Supervision department. This position involves the collection, analysis, processing, and dissemination of...
Title: Director, Tax, Trust and Estate Specialist Job Responsibilities: - Develop and maintain strong relationships with Financial Consultants and Portfolio Consultants. - Serve as an in-house subject matter expert on complex trust, estate, and income tax questions and issues. - Identify unstated needs from...
Title: Director, Legal Counsel Job Responsibilities: The Director, Legal Counsel at the company will support multiple retail-focused broker-dealer and investment adviser business units. The individual will work daily with managers, directors, and managing director-level business clients, serving as a trusted counselor. The...
Title: Director, Legal Counsel - Litigation Job Responsibilities: As a Director Legal Counsel-Litigation at the company, you will be responsible for managing and litigating high-stakes cases and arbitrations, particularly those that are complex and challenging. Your duties will include conducting...
Title: Director, Tax, Trust and Estate Specialist Job Responsibilities: - Develop and maintain strong relationships with the Wealth Advisory team. - Serve as an in-house subject matter expert on complex trust, estate, and income tax issues. - Identify and address unstated client needs to...
Title: Director, Tax, Trust and Estate Specialist Job Responsibilities: - Develop and manage strong relationships with Financial Consultants and Portfolio Consultants. - Serve as an in-house subject matter expert on complex trust, estate, and income tax questions and issues. - Identify and address unstated...
Advisor III - Dallas / Fort Worth: - High-level relationship advisor for high net worth and ultra-high net worth clients - Responsible for developing and deepening client relationships through needs-based, high-level client service - Offers the full suite of...
OverviewA law firm seeks a Securities Litigation and Regulatory Associate Attorney with 6-10 years of experience to join their team in Dallas, TX. This role offers the opportunity to work on high-stakes, complex matters in a dynamic environment, contributing meaningfully...