Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work...
Research and provide legal advice 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 regulated e...
The following jobs are no longer active but were real openings previously posted by employers.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.
Attorney The candidate will handle Civil, Family and Criminal Defense, with a heavy emphasis on Personal Injury and Medical Malpractice after demonstrated ability. Mostly Trial Work, but Corporate, Real Estate and/or Business knowledge and experience is a plus and essential to some important transactional matters. Must have JD Degree. Maine Bar-licensed. Must excel at spelling, grammar, and creative business/legal writing; enjoys sleuthing by being a top fact inv... 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Note: This job is no longer active.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
Officer - Fixed Income The candidate will support the NAM Credit, Capital Markets, Global Structured Finance, Derivatives Solutions Group, Strategic Risk Solutions, and LatAm Hub product areas. Will provide day-to-day Compliance advice relating to trading, suitability, new products, sales practices and guidance on fixed income regulatory rules/laws. Provide guidance on rules and regulations relating to trading, sales practices, information barriers, trade reportin... 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
Attorney The applicant should be a qualified and licensed attorney and have recent working experience within either a broker-dealer, or a financial services provider. Should have 4+ years of legal experience with skills and competencies that include: general contract drafting and negotiation; working knowledge of the Securities Act and Investment Company Act; and SEC/FINRA regulations as they pertain to the operation of a mutual fund and the obligations of a princi... 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
The candidate will play a critical role in Legal Department to support Financial Group and its multi-state affiliates and subsidiaries. Will be responsible for handling a variety of legal matters for Legal Department, including but not limited to contracts (distribution, dealer, service-related and vendor), regulatory issues, and compliance. Will be a key partner in interacting with both internal and external clients, and all other departments. Will provide prudent... 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 The candidate will be handling a high volume of contracts, regulatory and compliance issues in conformity with the Company’s practices and requirements and with precision, expertise, integrity and professional insight. Drafting agreements, which are legally sound and which reflect innovative industry understanding. Dealing with complex domestic and international legal and business matters. Providing expert legal advice and strategic advice to business partn... 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 The candidate will have responsibility for legal and regulatory matters, including contracting, compliance, intellectual property, corporate governance, risk management, internal audit, information security, business development and dispute resolution. Provide strategic operational leadership in the design, development, and administration of risk management and mitigation programs that aligns with the company’s business model, including strategy, organiza... 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
Paralegal The candidate will be responsible for supporting trial attorneys with a varied caseload of complex cases in state and federal courts. Contributions and Responsibilities: Produce legal documents such as pleadings, discovery, briefs and motions. Responsible for responsive and proactive discovery, including, drafting Requests for Production of Documents, Interrogatories and Requests for Admissions. Serve and file legal papers in the correct court and famili... 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
Legal Assistant The candidate should preferably have previous litigation support experience. Typical responsibilities include to: revising legal documents and memoranda, proofreading, timekeeping, maintaining files (paper and electronic), conducting online and general research, transcription, answering the telephone, assisting clients and responding promptly with the ability to successfully multi-task in a fast paced environment. Should have strong administrative... 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
Attorney The candidate will represent secured creditors, banks and mortgage servicers in residential foreclosure litigation. Responsibilities: Maintains and promotes good relationships with clients. Conducts open and closed file audits of direct reports, providing coaching and feedback to attorneys and paralegals following review. Manages attorney and paralegal performance and productivity for assigned office (s). Responsible for compliance with all applicable ethic... 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
office of an AmLaw firm seeks securities litigation attorney with 9 years of experience. The candidate should preferably have a solid background in securities class actions, complex commercial litigation, and internal investigations. Should have experience of depositions and oral advocacy;... 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