Title: Equity Derivatives Contract Negotiator Job Responsibilities: - Negotiate a diverse array of trading agreements such as ISDA Master Agreements, Master Confirmation Agreements (MCAs), bespoke equity confirmations, Futures & OTC Clearing agreements, Cleared Derivative Execution Agreements (CDEAs), MSFTAs, Collateral Control Agreements (CCAs),...
Title Senior Legal Counsel Job Responsibilities The Senior Legal Counsel will be part of the Workplace Investing (WI) legal team at the company, where they will play a pivotal role in advising the defined contribution plan recordkeeping, administration, trust, and institutional...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement’s investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position involves...
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 for complex or elevated risk firms with guidance and minimal supervision of...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions with internal and external parties. - Engage in risk monitoring activities that involve complex or elevated risk firms...
Change Management Officer - Vice President Level Job Description: - Work with the Regulatory Change Management Team as a Subject Matter Expert to identify and oversee the implementation of new or changes to existing laws, rules, regulations or...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a significant role in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is tasked with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This role involves representing the team as...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, focusing on both existing and emerging risks. - Report to a Risk Monitoring Director, supporting them in identifying risks and interacting with both internal...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and support interactions with internal and external parties. - Engage in...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to identify...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities that may include complex or elevated...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support a Risk Monitoring Director by identifying existing and emerging risks, and facilitating interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated...
ongoing risk assessments of FINRA members, reporting directly to... a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and manage interactions with both internal and external parties. - Carry out risk monitoring tasks, which may...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key figure within the StratIntel division of the organization’s Member Supervision department. The role is centered on delivering proactive intelligence to enhance investor protection and market integrity. The responsibilities include: -...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role includes leading sophisticated analytical projects that identify emerging market risks with minimal oversight. The specialist...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping and set a multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of 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 operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent to...
Attorney Job Category: Associate Attorney Position Type: Full Time Education: Juris Doctor Experience: 2-4 Years Salary: $110,000 - $120,000 Job Responsibilities: The law firm is seeking an Associate Attorney to join their team, specializing in representing professionals from the financial services industry. The responsibilities of the Associate...
pay range and discretionary bonus may be adjusted based on the location in which the position is performed. H1: Senior Corporate Paralegal Law Firm Full-Time Silicon Valley, New York, San Francisco, Seattle, Santa Monica H2:...
Summary: The Securities/Blue Sky Paralegal at Greenberg Traurig (GT) is a highly skilled professional with a minimum of 5 years of corporate securities experience within a law firm. This role is responsible for providing organizational and practice-specific assistance to...
Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal at the law firm, you will be instrumental in providing quality legal services to clients. Your role will encompass a range of tasks that require precision, attention to detail,...
Title: Paralegal (Associate) Job Responsibilities: The Paralegal (Associate) at the company will be part of the in-house Legal team supporting the corporate and funds distribution group. The role involves various responsibilities that include: - Drafting, reviewing, and maintaining investment fund distribution agreements, placement...
Law Firm: **Members Only** Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
Title: Senior Legal Counsel Job Responsibilities: - Serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced environment. - Act as a trusted advisor and subject matter expert, delivering sophisticated legal...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will be responsible for providing comprehensive legal guidance to senior management and the business, supporting the entirety of the Wealth Management business. Key responsibilities include: - Advising senior management and...
Research and provide legal advice to business 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...
issues. - Provide strategic guidance for client matters. - Draft and review legal documents, including contracts, agreements, and policies. - Negotiate on behalf of the company in business transactions. - Assist with compliance matters and ensure adherence to SEC and FINRA regulations. Education and Experi...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a key member of the Legal Risk Sustainability Compliance (LRSC) Team at the company, specifically supporting the company’s real estate investment funds. The role involves: - Advising...
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects of the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, serving as the in-house counsel for the company's real estate investment funds....
Title: Director, Counsel - Cash Management Job Responsibilities: The Director, Counsel role at the company is positioned within the Legal Department and is focused on supporting the Cash Management System business. The key responsibilities of this position include providing legal advice and...
Title: Associate (Senior) Job Responsibilities: The Associate (Senior) position at the law firm involves a variety of responsibilities focused on analyzing and assisting partners in identifying regulatory issues and formulating bespoke hedging structures. The role includes: - Advising and representing bank and corporate...
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...
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...
Litigation Paralegal - Legal Support at Securities Law Firm Job Overview: The ADR Litigation Paralegal position at a leading plaintiffs' securities litigation law firm is perfect for a mid-level paralegal with a strong background in litigation support. This role...
Title: Knowledge Management Data Steward – Transactions & Regulatory Job Responsibilities: The Knowledge Management Data Steward will be responsible for maintaining the quality, integrity, and consistency of data supporting the law firm's Corporate and Regulatory practices. As a member of the Knowledge...
spotting and application of federal securities laws affecting retail investment advice, including Regulation Best Interest, the Investment Advisers Act, FINRA rules, and state securities... regulations. - Conduct legal, factual, and benchmarking research and prepare summaries of risk/legal analysis. - Re...
policies and procedures, and supporting transactions and regulatory enforcement proceedings. Have experience in this area at a top law firm, financial institution or regulator, and significant familiarity with financial regulation, including SEC, FINRA, CFTC and other requirements... concerning regulated en...
distinguished law firm is seeking a senior-level associate or counsel to join its Securities Enforcement Defense team. The ideal candidate will have extensive experience handling securities enforcement matters, including SEC and FINRA examinations and , NJDutiesHandle... securities enforcement defense matters,...