Title: Broker Dealer Marketing Compliance Job Responsibilities: - Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on regulations,...
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...
Public Companies/Public Offerings group will be responsible for the following duties: - Counsel pre-IPO and public companies on disclosure matters, corporate governance, and compliance with SEC and stock exchange reporting requirements. - Assist in... capital markets transactions, including initial public offerings (...
Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager is a key role within the General Counsel’s Organization, specifically aligned with Asset Management Legal. This position is integral to supporting the Columbia Threadneedle Investments, focusing on registered investment companies such as...
Title: Capital Markets Associate Job Responsibilities: - Legal Research: Conduct comprehensive legal research and analysis to support case or transaction preparation and strategy. - Legal Writing: Draft error-free and well-reasoned legal documents, including briefs, motions, contracts, and correspondence. - Case/Transaction Assistance and Management: Assist...
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...
Law Firm Seeking Securities and Capital Markets Mid-Level... a Mid-Level Attorney in Securities and Capital Markets H2:... Exciting Opportunity for a Securities and Capital Markets Attorney... - Seeking a securities and capital markets attorney... with 4-8 years of experience...
H1: Securities and Capital Markets Mid-Level... Advance Your Career in Securities and Capital Markets Law... years of experience in securities and capital markets law... - Opportunity to work in Rochester, Buffalo, or Albany office of law firm - Must have...
H1: Securities and Capital Markets Mid-Level... Our Team as a Securities and Capital Markets Attorney... highly qualified and experienced securities and capital markets attorney... to join our team in either Rochester, Buffalo, or Albany. This is a fantastic opportunity for...
successful candidate may be asked to perform other duties as necessary. Salary Information The salary for this position will be competitive and commensurate with experience. The firm also offers a comprehensive benefits package including medical, dental, vision, and...
Job Title: Corporate Securities Associate Job Responsibilities: - Lead compliance... with the Securities Exchange Act of 1934... ('34 Act) and the Securities Act of 1933 ('33... Act). - equity, debt, and other securities. - Address corporate governance matters... and ensure adherence to exchange listing requirements. - Navigate legal......
Job Title: Attorney - Securities Job Responsibilities: - Represent issuers and... and private offerings of securities. - Advise publicly traded companies... on compliance with the Securities Exchange Act of 1934. -... Ensure adherence to exchange listing standards and corporate... governance. - Collaborate effectively within a...
Job Title: Attorney - Securities Job Responsibilities: The role involves... and private offerings of securities. Responsibilities also include advising... on compliance with the Securities Exchange Act of 1934,... exchange listing standards, and corporate... governance. The candidate will be expected to engage...
Job Title: Attorney - Securities Job Responsibilities: - Represent issuers and... and private offerings of securities. - Advise publicly traded companies... on compliance with the Securities Exchange Act of 1934. -... Ensure adherence to exchange listing standards and corporate... governance requirements. - Collaborate effectively within...
Management Legal and Compliance Division as a Vice President. The primary responsibilities include providing legal coverage for the Alternative Investments and Private Markets businesses, focusing on alternative investment funds and private securities transactions. The attorney will... analyze, review, negotiate, s...
practice area. Key duties include: - Working on public and private debt and equity offerings. - Engaging in Securities Exchange Act of 1934... reporting. - Advising clients on day-to-day governance matters, including compliance with the SEC and stock exchange regulations. - Handling public company......
the legal industry. We not only have the best **Members Only** positions, but we also have the most. Securities and Exchange Regulatory Compliance Attorney The... candidate must be an experienced regulatory compliance attorney to handle quarterly, bi-annual, and annual f...
to join its growing Securities and Capital Markets practice... both public and private offerings of securities, as well as advising... publicly traded companies on compliance with federal securities regulations, corporate governance, and... exchange listing standards. This position... offers an exc...