General Counsel Broker Dealer Jobs
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Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Apr 12, 2024
SUMMARY: # Associate General Counsel, Broker-Dealer/Investment Advisor Group ## Overview Organization is looking for an Associate General Counsel to work in the Broker-Dealer/Investment Adviser Group. The position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Advi...
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Corporate - Securities and Capital Markets Attorney / Finance - General Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Apr 24, 2024
SUMMARY: Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel: - Job Identification: 210510239 - Job Category: Counsel - Business Unit: Corporate Sector - Posting Date: 04/17/2024, 05:58 PM - Locations: New York, NY; Columbus, OH; Plano, TX - Job Sch...
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Corporate - Securities and Capital Markets Attorney / Finance - General Attorney in Plano, TX
Plano, TX
Type: Full Time | Posted Date: Apr 24, 2024
SUMMARY: Job Title: Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel Salary: $199,500.00-$275,000.00 in New York, NY Experience: At least 5 years of legal practicing experience at a law firm, financial institution, government agency, regulator and/or...
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Tax - General Attorney in Woodland Hills, CA
Woodland Hills, CA
Type: Full Time | Posted Date: Apr 25, 2024
SUMMARY: Job Title: Tax Senior Manager - Asset Management, Broker Dealer Experience: Minimum of 7 years of related experience Location: Pasadena, CA Department: Tax Services Summary: - Moss Adams is a values-driven firm that fosters a culture of talented and caring individuals. - The firm specializes i...
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Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Apr 07, 2024
SUMMARY: Title: Associate Chief Counsel Salary Range: $207,600 - $369,000 Experience Level: Minimum of 12 years Organization: Public Company Accounting Oversight Board (PCAOB) Location: Washington, D.C., New York, NY, Chicago, IL Time Type: Full time Job Requisition ID: R973 Posted On: Posted 3 Day...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Apr 07, 2024
SUMMARY: We are seeking an experienced Associate Chief Counsel to join our team at the PCAOB. As a nonprofit organization established by Congress, we oversee the audits of public companies and SEC-registered brokers and dealers to protect investors and further the public interest in the preparation of indepe...
Corporate - General Attorney in Jersey City, NJ
Jersey City, NJ
Type: Full Time | Posted Date: Apr 03, 2024
SUMMARY: © 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the C...
Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Apr 19, 2024
SUMMARY: Role: AVP, Associate General Counsel Location: Fort Mill/Charlotte, Boston, MA, San Diego, CA Time Type: Full Time Salary: $137,520-$206,280/year Job Requisition ID: R-035546 Job Overview: The AVP, Associate General Counsel will be responsible for managing complex regulatory matters with f...
Corporate - Asset/Investment Management Attorney / Corporate - Contract Law Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Apr 19, 2024
SUMMARY: Job Title: Vice President, Assistant General Counsel - Alternative Investments Location: Boston, San Diego, CA, Fort Mill, SC, Austin, TX, Kansas City, KS Time Type: Full Time Salary: $174,640-$261,960/year Overview: LPL Financial is seeking a talented and experienced Vice President, Assistan...
Corporate - Asset/Investment Management Attorney / Corporate - Contract Law Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Apr 19, 2024
SUMMARY: LPL Financial is an Equal Opportunity Employer. Vice President, Assistant General Counsel at LPL Financial Location: Boston, MA; Fort Mill, SC; San Diego, CA; Austin, TX; Kansas City, KS Full Time, Posted Yesterday Job Requisition ID: R-035369 - Exciting opportunity to join a dynamic and in...
Corporate - Securities and Capital Markets Attorney in Arlington, VA
Arlington, VA
Type: Full Time | Posted Date: Apr 16, 2024
SUMMARY: As a leading global alternative investment manager, Ares Management Corporation (NYSE: ARES) offers clients investment solutions in credit, private equity, real estate, and infrastructure. We are a publicly traded, integrated global alternative asset manager with approximately $207 billion of assets...
Corporate - Asset/Investment Management Attorney in Charlotte, NC
Charlotte, NC
Type: Full Time | Posted Date: Apr 10, 2024
SUMMARY: #H1# Join Our Team of Legal Professionals at Ameriprise #H2# About the Counsel Role Ameriprise is looking for experienced legal professionals to provide institutional and retail asset management lines of business with legal advice and transaction support. The Counsel role requires a solid backgrou...
Corporate - Asset/Investment Management Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Apr 10, 2024
SUMMARY: #H1# Join Ameriprise Financial as Counsel #H2# About the Role Ameriprise Financial is looking for a Counsel to join our General Counsel's Organization (GCO) team and provide institutional and retail asset management lines of business with legal advice and transaction support. This role will re...
Corporate - Asset/Investment Management Attorney in Minneapolis, MN
Minneapolis, MN
Type: Full Time | Posted Date: Apr 10, 2024
SUMMARY: Job Summary Ameriprise Financial is looking for a Counsel to join the GCO General Counsel's Organization to provide institutional and retail asset management lines of business with legal advice and transaction support and develop strong business partner relationships throughout Columbia Threadneedl...
Corporate - Asset/Investment Management Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Apr 10, 2024
SUMMARY: # Job Summary Ameriprise Financial is looking for an experienced lawyer to provide legal advice to its institutional and retail asset management lines of business. The Counsel will join the General Counsel’s Office (GCO) to support Columbia Threadneedle Investments and will be based in Boston, ...
Corporate - Securities and Capital Markets Attorney in Saint Petersburg, FL
Saint Petersburg, FL
Type: Full Time | Posted Date: Apr 05, 2024
SUMMARY: H1: Assistant General Counsel, Fixed Income Capital Markets-2400739 H2: Job Summary Assistant General Counsel, Fixed Income Capital Markets-2400739: Providing comprehensive legal support for the Fixed Income Capital Markets division of Raymond James (FICM), including transactional, litigation, a...
Corporate - Asset/Investment Management Attorney in Fort Mill, SC
Fort Mill, SC
Type: Full Time | Posted Date: Apr 04, 2024
SUMMARY: H1: VP, Assistant General Counsel - Legal Services for Investor Complaints in Financial Firm H2: Responsibilities and Qualifications for VP, Assistant General Counsel Role The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broa...
Corporate - Asset/Investment Management Attorney in Charlotte, NC
Charlotte, NC
Type: Full Time | Posted Date: Apr 04, 2024
SUMMARY: H1: Vice President, Assistant General Counsel - Early Dispute Resolution (EDR) H2: Job Responsibilities and Qualifications Summary: The Vice President, Assistant General Counsel in the firm's Early Dispute Resolution (EDR) group is responsible for handling a broad range of in-house legal serv...
Corporate - Asset/Investment Management Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Apr 04, 2024
SUMMARY: Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that...
Corporate - General Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Apr 03, 2024
SUMMARY: © 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Title: Sr Vice President, Corporate Financing & Advertising Regulation Job Requisition ID: R-007616 Organization: FINRA Location: Rockville, MD (Remote work opti...