Title: Compliance Attorney, Securities Job Responsibilities: The Compliance Attorney, Securities is a critical role within the company's Securities Compliance Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include the interpretation and application of securities laws and regulations...
Title: Compliance Officer, Securities Job Responsibilities: The Compliance Officer, Securities, plays a crucial role within the Securities Compliance Department, which serves two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide...
The following jobs are no longer active but were real openings previously posted by employers.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.
General Counsel (Attorney) Candidate will provide legal services on a variety of general corporate matters as requested, principally including contractual and compensation matters related to a sales force, including drafting compensation documents and researching and responding to a variety of legal matters arising in connection with the sales force, drafting, reviewing and negotiating transactional and selling agreements for various financial products (including c... 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Note: This job is no longer active.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 Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Assistant General Counsel (Attorney) Candidate will provide legal services on a variety of general corporate matters as requested, principally including contractual and compensation matters rel... 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
currently has the following opening in our new headquarters located at 1 **Members Only** has large independent contractor sales force and is seeking an attorney with contract expertise to provide legal services on a variety of contract and general legal matters, including contractual and compensation matters related to independent contractor sales force. Responsibilities include (1) preparing contract and... 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
Senior Attorney (Securities) Duties: Handle securities consumer complaints, including discussions with consumers, regulators, outside counsel, etc. investigates and resolves consumer complaints related to securities products, including mutual funds, 529 plans, variable... annuities, or other services provided by the Companies’ sales force. prepares responses to regulatory inquiries and assist agents involved in the preparation of required statements, negotiates settlements... 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
Assistant General Counsel Duties: Handle securities consumer complaints, including discussions with consumers, regulators, outside counsel, etc. Investigates and resolves consumer complaints related to securities products, including mutual funds, 529 plans, variable... annuities, or other services provided by the Companies’ sales force. Prepares responses to regulatory inquiries and assists agents involved in the preparation of required statements, negotiates settlements an... 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
Assistant General Counsel, C14 Candidate will manage securities consumer relations and regulatory reporting area. Will administer and manage handling of matters which will include discussions with consumers, regulators, outside counsel. Investigate and resolve consumer complaints related to securities products, including mutual funds, 529 plans, variable... annuities, or other services provided by the company’s sales force. Will prepare responses to regulatory inquiries and 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
General Counsel (Securities) The candidate will handle securities arbitrations, mediations, consumer complaints and regulatory inquiries which involves extensive discussions with consumers, regulators, and outside counsel. Will respond to state inquiries relating to unemployment compensation requests and will participate in related administrative hearings as well as participate in and/or manage special projects, etc. Investigate and resolve consumer complaints rela... 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
currently has the following opening in our headquarters located at 1 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
Account Attorney The candidate will work with executive management to develop and manage the legal functions of an investment management platform and the transition of an existing managed account program currently offered in all 50 states.​ Law degree and membership in a state Bar required. Must have 10+ years of experience in dealing with legal issues arising from a dually-registered BD/​RIA (SEC registered) that offers retail brokerage and/​or advisory serv... 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
Investments Attorney The candidate will works directly with executive management to develop and manage the legal functions of an investment management platform and the transition of an existing managed account program currently offered in all 50 states. Relevant advisory services include mutual fund or ETF based... wrap-fee programs, separately managed accounts, unified managed accounts or rep as portfolio manager, offered through both investment advisory representatives or s... 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