Job Title: Private Client Advisor II Job Responsibilities: - Lead the... client management process (CMP) within the client team to identify new business development opportunities. - Source new clients in alignment with the established risk appetite. - Lead the client team to deliver meaningful...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
The following jobs are no longer active but were real openings previously posted by employers.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 (Investment Management) Associate Candidate will... have 4+ years of experience working on matters related to the investment management field, such as... registered funds, ETFs, hedge funds,... and investment advisors. Additional experience with... broker-dealers is a plus. A superior academic record, strong work ethic and excellent writing skills are required.... 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Note: This job is no longer active.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 Counsel Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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Note: This job is no longer active.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
Securities Compliance Officer The candidate will create and implement policies and procedures that are reasonably designed to ensure the broker-dealer and registered investment adviser are complying... with applicable laws, rules and regulations. Communicate securities compliance procedures and policies to the sales force. Represent the broker-dealer and registered investment adviser during regulatory... examinations and investigations. Respond to information requests and inquirie... 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
Compliance Manager RA The candidate will lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor... Representatives. Correspond with various... regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and/or state regulatory agencies. Lead the team i... 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
**Members Only** Parkway in Duluth, Georgia: The Investments Attorney has at least 5 years of experience in dealing with legal issues arising from a dually-registered BD/RIA (SEC registered) that offers retail brokerage... and/or advisory services to the ; Relevant SEC experience or experience served in a legal leadership role in an investment adviso... 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
Managed 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
Consultant Company: 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
Job Information Job Title: Financial Advisor-Atlanta Employer: UBS Financial... Services Inc. Briefing Book: Obtain a Briefing Book on **Members Only** (Formerly UBS PaineWebber), we have... 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
Financial Advisor Company: 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
Financial Advisor - Savannah, GA Company:... **Members Only** (Formerly UBS PaineWebber), we have a single intention-to... 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