and provide legal advice to the company's business regarding FINRA regulatory and broker dealer... compliance issues. - Manage communication and interaction with the company's clients, service providers, and others regarding contract terms and conditions and other relevant information. - Stay informed...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of...
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 of project...
The following jobs are no longer active but were real openings previously posted by employers.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.
CORPORATE COUNSEL Opportunity with a Dynamic, Rapidly Growing Company! As General Counsel of **Members Only**, LLC, I am looking for the right candidate to fill an In-House Corporate Counsel position with our rapidly growing ; Specifically, I am looking for a... 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Note: This job is no longer active.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
Corporate Paralegal Duties: Support SEC reporting and compliance obligations, including preparation and filing of Forms 10-K, 10-Q, 8-K, S-8, and other registration statements, managing EDGAR codes, and maintaining and updating exhibits to quarterly and annual filings. Prepare Section 16 filings related to director and executive officer equity ownership, including preparation and filing of Forms 3, 4, and 5, and Form 144 obligations, and have familiarity with benefici... 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
Regulatory & Compliance Analyst The candidate will assist with regulatory audits by FINRA, SEC, and state insurance... and securities regulators. Investigate complex issues, including but not limited to internal investigations, customer complaints and related litigation and AML-related matters. Project manage regulatory responses, internal investigations, rule implementations, privacy incidents and other matters. Conduct due diligence related to AML and on business issues that... 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
and Benefits: The salary for this position is competitive and will be commensurate with experience. We’re serious about Building. We’re a team that cares - about investors, about sponsors, and about each other. Building something great is never easy. We encounter obstacles. We face challenges. Things can sometimes feel chaotic. And because we build together, intentionally engaging our shared core values to build an inspiring culture, we enjoy our work - even when it... 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
In-House Corporate Counsel The candidate will work closely with General Counsel and management team to help manage all of the group of companies’ legal and compliance issues and affairs. Will report to the company’s General Counsel. Must have 3-5 years of experience. Should have an academic record and professional background. Must have prior legal experience include work at a large law firm. Should have some familiarity with SEC and FINRA rules relating to private... funds,... 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
Business Execution Consultant (Consumer & Small Business Banking) - Escalation Review Team 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
Execution Consultant 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
formation matters and/or have experience reviewing and advising on the marketing and offering of investment products under FINRA and SEC rules. The... candidate will support the attorneys with investments in, and the formation and operation of, private investment funds, nego... 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
formation matters and/or have experience reviewing and advising on the marketing and offering of investment products under FINRA and SEC rules. The... candidate will support the attorneys with investments in, and the formation and operation of, private investment funds, nego... 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
array of fund formation matters and/or have experience reviewing and advising on the marketing and offering of investment products under FINRA and SEC rules. The... candidate will support attorneys with investments in, and the formation and operation of, private... 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