Regulatory Broker Dealer Securities Attorney Jobs
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Corporate - Asset/Investment Management Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Apr 16, 2024
SUMMARY: **Morgan Lewis Investment Management Registered Funds Midlevel Associate** Morgan Lewis, a leading law firm, is looking for a midlevel associate with law firm, SEC or industry experience to join its Investment Management practice in Philadelphia. The successful applicant must have a strong knowledg...
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Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: May 10, 2024
SUMMARY: Vice President, U.S. Registered Funds Legal - Philadelphia, PA Full-Time Position - Job Requisition ID: R241273 About the Role: - Seeking an attorney to support BlackRock's US registered fund business - Providing legal advice and consultation on a variety of legal, regulatory, and complian...
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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: May 06, 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: May 06, 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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Corporate - General Attorney in Jersey City, NJ
Jersey City, NJ
Type: Full Time | Posted Date: May 03, 2024
SUMMARY: Juris Doctorate degree from an accredited law school and admission to a state bar. Salary The salary for this position is competitive and commensurate with experience. Summary Company is looking for a Vice President, Counsel to join their Pershing line of business within the BNY Mellon ent...
Corporate - General Attorney in Lake Mary, FL
Lake Mary, FL
Type: Full Time | Posted Date: May 03, 2024
SUMMARY: Juris Doctor degree from an accredited law school. Salary The salary for this position is competitive and commensurate with experience. ## Counsel - (Pershing) Hybrid **Job Title:** Vice President, Counsel **Job Category:** Legal Counsel **Locations:** * 100 Colonial Center Parkwa...
Corporate - Asset/Investment Management Attorney in Fort Mill, SC
Fort Mill, SC
Type: Full Time | Posted Date: May 02, 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: May 02, 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: May 02, 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 - Securities and Capital Markets Attorney in Saint Petersburg, FL
Saint Petersburg, FL
Type: Full Time | Posted Date: May 02, 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 - 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 - Contract Law Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Apr 19, 2024
SUMMARY: SEO Friendly Job Title: AVP, Associate Counsel - Legal Advice for Brokerage and Product Support H1: Join Our Team as an AVP, Associate Counsel for Legal Advice in Brokerage and Product Support H2: Exciting Opportunity at LPL Financial Company Overview: - Founded on the principle of putting the adv...
Corporate - Contract Law Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Apr 19, 2024
SUMMARY: The AVP, Associate Counsel will be responsible for providing legal advice and support to LPL Financial in the areas of brokerage, product, and business support. This role will involve negotiating contracts with mutual fund, alternative investment, advisory platform, insurance, and annuity issuers. T...
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 - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Apr 16, 2024
SUMMARY: The Counsel, Global Wealth Management Distribution position at Ares Management Corporation is a great opportunity for an experienced attorney with a strong background in wealth management and alternative investment products. This full-time position, based in either New York or Washington D.C., offer...
Partner in Corporate - Securities and Capital Markets in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: May 09, 2024
SUMMARY: # Levenfeld Pearlstein Seeks Corporate Partner (Securities) Levenfeld Pearlstein (LP) is looking for a securities partner to join its expanding Corporate Practice Group to assist and develop its securities, private fund and investment services practice. This is a great opportunity for an attorney w...
Finance - Structured Finance Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: May 08, 2024
SUMMARY: Law Firm Seeking NY Derivatives Associate (3rd-4th Year) with Competitive Salary Range and Opportunities for Growth Are you an experienced associate with a passion for derivatives? Do you thrive in a fast-paced, cross-border environment? Look no further than Paul Hastings LLP, a premier law firm ...
Finance - General Attorney in West Des Moines, IA
West Des Moines, IA
Type: Full Time | Posted Date: May 14, 2024
SUMMARY: Counsel - Corporate Sammons Financial Group Salary: Competitive Job Category: Corporate Experience: Minimum 8 years' experience preferred Location: West Des Moines, IA 50266, USA Job Description: As Counsel for the Sammons Financial Group Companies (Sammons Financial Group), you will provide ...
Insurance - Regulatory & Compliance Attorney in Minneapolis, MN
Minneapolis, MN
Type: Full Time | Posted Date: May 09, 2024
SUMMARY: • Salary Range: $85,000-$120,000 per year • Job Title: Counsel Hybrid • Job Level: Professional • Location: Minneapolis, MN • Area of Expertise: Legal & Compliance • Unit: Allianz US Life • Employing Entity: Allianz Life Insurance Company • Job Type: Full-Time ...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: May 08, 2024
SUMMARY: FINRA is seeking a Principal Counsel, Enforcement to join our team in various locations across the US. This position offers a competitive salary and benefits package, including a discretionary bonus, comprehensive health, dental and vision insurance, 401(k) plan with company match, and many other be...