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 with corporate executives, investment RIAs, and private funds. Act as underwriters counsel on......
and squatting occasionally, up to one-half hour per day Reaching at or below shoulder level occasionally, up to one-half hour per day Ability to work in a fast-paced, high-pressure environment H1: Corporate Attorney - Join **Members Only** for...
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 with corporate executives, investment RIAs, and private funds. Act as underwriters counsel on......
The following jobs are no longer active but were real openings previously posted by employers.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.
Consultant V - Investment Adviser and Investment Company Compliance The candidate will conduct regulatory compliance risk management oversight for high risk compliance programs covering registered investment advisers and investment companies under the SEC rules regulations, provide subject matter expertise to the businesses and support group partners on select SEC regulations and risk topics, and provide regulatory compliance risk expertise and consulting for proj... 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Note: This job is no longer active.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 Consultant V - Investment Advisor and Bank Fiduciary Services The candidate will conduct regulatory compliance risk management oversight for high risk compliance programs covering registered investment advisers and national banks pursuant to the Securities Exchange Act of 1934,... Investment Advisers Act of 1940, and Fiduciary... Activities of National Banks pursuant to 12 CFR 9, providing subject matter expertise to the businesses and supporting group partners on selec... 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 2 - Asset Management Counsel Duties : Will provide substantive and practical legal advice on the application of a variety of laws and regulations, including the Securities Exchange Act of 1934,... Investment Advisers Act of 1940, Investment Company... Act of 1940, Securities Act... of 1933, Commodity... Exchange... Act and FINRA rules... to... an investment management business. Identifying and analyzing complex legal issues arising with respect to distribution and strategic distribution-... 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 IV The candidate will be the primary attorney providing legal support to the following functions within the company's retail brokerage line of business within WIM: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities offerings; (c) commodity futures... trading and futures credit risk; (d) listed securities options; (e) market-linked securities... and certificates of deposit;... and (f) securities research. Must have 8+... years of ex... 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 Consultant 5: Bank Fiduciary & Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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 Consultant V: Bank Fiduciary and Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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 Consultant V: Bank Fiduciary and Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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 Consultant V: Bank Fiduciary and Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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
Crimes Consultant III The candidate will work on the monitoring and surveillance team. Will be responsible for evaluating customer information and associated high risk and utilizing appropriate investigative techniques. Will be responsible for screening company customers against sanction and other watchlists. Also be responsible for identifying and analyzing negative news involving current and new company customers. Performs a variety of analytical tasks for a comp... 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
Client Manager Company Securities Control Room (Compliance Consultant... V) The candidate will be tasked with handling highly sensitive and nonpublic information with profound care. Proficiently assess corporate finance and capital markets transactions for regulatory, legal and reputation conflicts. Creatively fashion methodology for information barrier-related issues and resolution of client conflicts dealing with all types of capital markets activities including: M&A engageme... 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