Title: 40 Act Attorney Job Responsibilities: The 40 Act Attorney at the company will be responsible for several key duties related to registered investment products, including privately offered business development companies (BDCs), non-traded BDCs, and non-listed real estate investment trusts (REITs). The...
Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel at the company will serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced and high-stakes environment. The primary responsibilities...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be a key member of the company's global Legal Risk Sustainability Compliance (LRSC) Team, serving as in-house counsel focused on the company's real estate investment funds....
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: - Advise on a wide array of legal and regulatory matters concerning the formation, structuring, distribution/marketing, and operation of private funds. This includes preparing and negotiating private placement memoranda, partnership agreements, term...
Markets Partner The candidate will serve as a business advisor to clients, guiding them on compliance with securities laws, managing public and private offerings, and navigating complex capital markets transactions. Serve as a strategic advisor to clients, often working closely...
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...
Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in the investigations and decisions regarding whether to bring disciplinary actions against individuals and firms in the financial industry. This entry-level position provides substantive hands-on...
& Deputy General Counsel (CCO). The primary responsibilities include assisting the CCO with oversight of the . broker dealer compliance program and supporting global compliance initiatives alongside the European Head of Compliance (EHC). Key duties involve: - Monitoring the FINRA regu...
Title: Securities Transaction and Compliance Coordinator Job Responsibilities: The Securities Transaction and Compliance Coordinator will be responsible for administering and supporting the law firm's internal pre-clearance policies and protocols for the purchase or sale of any security. Key responsibilities include:...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks, and interact with internal and external parties. - Conduct risk monitoring activities, including dealing with complex or elevated risk firms, with guidance and minimal...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties to address these risks. - Perform risk monitoring activities, including those involving complex or elevated risk firms,...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan, managing priorities in alignment with Member Supervision goals, and integrating Examination efforts with Regulatory Operations. - Provide strategic leadership...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member...
Intelligence Specialist Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical position within the department of StratIntel at the organization, which is committed to delivering proactive intelligence to enhance investor protection and market integrity. The primary responsibilities for this...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst plays a crucial role within the Office of Strategic Engagements (OSE) of the Member Supervision department. The primary responsibilities include: - Supporting the External Strategic Engagements leadership team...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Monitor complex...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key member of the StratIntel team within the Member Supervision department at the organization. This role is critical to the mission of delivering proactive intelligence to enhance investor protection and...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a pivotal role in the **Members Only** program within the organization's Member Supervision department. This position is integral to the Financial Intelligence Fusion Center (FIFC), tasked with aggregating, analyzing, and...