of artificial intelligence (AI) technologies within the company's broker-dealer and investment advisory operations. - Advise on... legal and regulatory issues pertaining to AI use in broker-dealer functions such as trade surveillance, client onboarding, and compliance automation. - Draft, review, and negotiate contracts...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: - Lead a team of dedicated privacy attorneys and professionals, providing guidance on substantive legal issues and contributing to their career development. - Serve as a member of various authorized...
The following jobs are no longer active but were real openings previously posted by employers.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.
Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, the Associate General Counsel and the Chief Legal Officer, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s brokerage offerings. Will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and Regulatory group and will support LPL’s Institution Services b... 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Note: This job is no longer active.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
VP, Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice in a wide variety of areas related to the company’s broker-dealer business. Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance... on development of policies related to new and changing... 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 AVP, Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s registered investment advisor (“RIAâ€) offerings.... Will work with various business units within the company to draft and negotiate contracts with financial advisors, portfolio managers, product... 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
Paralegal Associate The candidate assists in preparation of securities, registered investment advisor, lobbying and... other regulatory or legal filings, as required. Designs and supports best practices document management and ensures consistent file organization across functions. Processes signing and distribution of legal agreements and compliance documents; drafts cover letters and other correspondence, memorandums, spreadsheets and presentations, as needed. Assists in draft... 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 The candidate will be providing legal counsel, compliance guidance and interpretations of complex federal & state laws to support new insurance product development, new insurance product advertising, insurance product management, sales and marketing, and electronic transactions. Collaborating with other legal associates, and corporate and business units - including broker-dealer and retail registered investment advisor - to... identify and address regu... 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
Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s operations and trading functions. Will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and and Regulatory group and will require frequent interactio... 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
AVP, Associate Counsel Duties: Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance... on development of policies related to new and changing regulations affecting the company’s service offerings. Deliver quality legal advice to internal partners and senior management on general broker-dealer issues, including both sales practice and financial/operations matters. Serve as counsel to stan... 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
Specialized Fiduciary Officer I The candidate will be responsible for managing small to medium, less complex situations that require a high level of technical expertise and knowledge. Get involved in the process of reviewing and pre-approving new IRAs. Partner with other team members to cover account administrative duties. Coordinat information and activities with external business partners (Attorneys, CPAs, and Fiduciary Accountants, Registered Investment Advisors, etc.), 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
Specialized Fiduciary Officer I The candidate will be involved in the process of reviewing and pre-approving new IRAs. Will be responsible for partnering with other team members to cover account administrative duties. Responsible for coordinating information and activities with external business partners (Attorneys, CPAs, and Fiduciary Accountants, Registered Investment Advisors, etc.), and... with internal support partners (FA’s, Sales, Tax, Compliance, SAM, ART, Operations,... 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