Job Title: Securities Litigation Attorney Job Responsibilities: The Securities Litigation... Attorney at the law... representing various clients including broker/dealers, life insurance carriers, financial... and their employees. The attorney will handle cases involving: -... Securities and shareholder litigation across multiple jurisdictions. - FINRA... customer arbitration...
Title: Assistant General Counsel, Broker-Dealer Counseling and Regulatory Examinations Job... to the company's retail broker-dealer. Key responsibilities include: - Leading... internal coordination for regulatory examinations and investigations by the Securities and Exchange Commission (SEC), FINRA, and state securities departments. This involves interfacing...
Associate Attorney Job Title: Associate Attorney Job Responsibilities: -... Representation of clients in legal proceedings, which includes conducting research, drafting pleadings, discovery, and various motions. - Taking and defending depositions, handling court hearings, and communicating with clients regarding case strategy. - Participation in mediation and...
Job Title: Transportation Associate Attorney Job Responsibilities: The Transportation... Associate Attorney will be part of... the Transportation Practice at the law firm. The responsibilities include: - Handling insurance defense cases related to heavy trucking/tractor trailers, cargo, and freight carriers. -...
Job Title: Transportation Associate Attorney Job Responsibilities: The Transportation Associate... Attorney will be responsible for... representing clients within the trucking industry, including freight carriers, transportation brokers, truck insurers, public entities, school bus operators, long and short haul truckers, and waste management...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on lega...
in the development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on legal...
legal services. The primary responsibilities include responding to investor complaints related to sales practices and operational issues, handling regulatory inquiries, and defending the company and its advisors in litigation. The role involves offering... legal advice and counsel to the comp...
and its advisors in litigation. - Render legal advice and... counsel to the company and business units, working to achieve equitable resolutions of claims. - Report to a Vice President, Associate Counsel within the...
of in-house legal services within the company's Early Dispute Resolution group. Key responsibilities include: - Responding to investor complaints, including both sales practice and operational complaints, and handling regulatory inquiries. - Defending the company and its advisors in litigation. - Rendering legal advice...
Title: Senior Counsel – Distribution Counsel (BD/RIA/Insurance) Job Responsibilities: The Senior Counsel will play a pivotal role in ensuring the success and compliance of the organization by providing strategic legal guidance and support to distribution and product leadership within the Protection...
development, maintenance, and offering of investment advisory, broker-dealer, and insurance agency products... and services. - Prepare, review, and negotiate legal contracts, documents, and agreements, including advisory agreements, custodian contracts, clearing agreements, selling/distribution agreements, and service agreements. - Advise on l...
Title: US Associate General Counsel Job Responsibilities: - Support the General Counsel in representing the company to the US regulatory and legislative community. - Lead regulatory workstreams, providing advice to the market and internal stakeholders. - Develop the company's regulatory...
Job Title: Civil Litigation Attorney Job Responsibilities: - Handle all... aspects of civil litigation from case intake to... resolution - Draft and respond to discovery - Prepare and argue motions - Take and defend depositions - Develop case strategy - Represent clients in hearings, mediations, and trial...
Title: Bank Regulatory Deposits Attorney, Vice President Experience:... The Bank Regulatory and Deposits Legal team at **MEMBERS ONLY**SIGN UP NOW***. is seeking a highly experienced and knowledgeable deposits attorney to join their team... as a Vice President. This role will be base...
Insurance and Wealth Management Attorney H1 Friendly Heading:... Join Our Team as an Insurance and Wealth Management Attorney H2 Friendly Heading:... A Dynamic Role in Legal Support for Wealth - Seeking an Experienced Attorney to Support Wealth Management......
Insurance and Wealth Management Attorney - Vice President, Assistant... Insurance and Wealth Management Attorney H2: Exciting Opportunity... Bold Headline: Seeking Experienced Attorney to Support Insurance and... and experienced Insurance and Wealth Management Attorney to join our .... Wealth Man...
Insurance and Wealth Management Attorney - Vice President, Assistant... Wilmington, DE; Tempe, AZ **Job Schedule:** Full time **Job Shift:** Day **Job Description:** We are seeking a highly skilled and experienced attorney to join our .... Wealth Management Lega...
Insurance and Wealth Management Attorney - Vice President, Assistant... General Counsel Job ID: 210575343 Location: Columbus, OH, United States and 5 more a talented and experienced attorney to join our .... Insurance and Wealth Management Attorney - Vice President, Assistant......
Insurance and Wealth Management Attorney - Vice President, Assistant... General Counsel will be responsible for providing legal support and guidance for the . Wealth Management Legal team. This role will involve analyzing and discussing regulatory issues related to insurance and...
Insurance and Wealth Management Attorney - Vice President, Assistant... General Counsel H2: About the Position: - Job title: Insurance and Wealth Management Attorney - Vice President, Assistant... General Counsel - Location: Columbus, OH and 5 more locations (Plano, TX; Philadelphia,...
Insurance and Wealth Management Attorney - Vice President, Assistant... General Counsel at JPMorgan Chase & Co. is a highly sought-after position for experienced attorneys in the field. This role offers a competitive salary, with a range of $183,, in the...
retail investment advisor and broker-dealer. With over 6,500 financial... professionals nationwide and over $250 billion in client assets, this is a dynamic and fast-paced environment where your expertise will be essential. The Team: You will be a part of...
US Advisor Attorney-Vice President, Assistant General Counsel... as a US Advisor Attorney-Vice President at JPMorgan Asset... Bold Headline: Experienced Attorney Needed for Investment Management... are seeking an experienced attorney to join our legal... as a US Advisor Attorney-Vice Pre...
US Advisor Attorney-Vice President, Assistant General Counsel-... Team as an Experienced Attorney in Investment Management ... is seeking an experienced attorney for the role of... US Advisor Attorney-Vice President, Assistant General Counsel.... - The successful candidate will provide comprehensive legal...
Job Title: US Advisor Attorney-Vice President, Assistant General Counsel... $183,, - Base Pay/Salary NY: $156,, H1: Join Our Team at JPMorgan Asset Management as a US Advisor Attorney-Vice President H2: Make an... Impact in the Financial Industry with You...
US Advisor Attorney-Vice President, Assistant General Counsel... fulfilling career as an Attorney at JPMorgan Asset Management,... one of the largest and most diverse fund complexes in the United States. Join our team of thought leaders and make a significant impact...
or Washington H2: Provide Legal and Regulatory Advice to Retail Broker-Dealer and Investment Adviser Affiliates Summary: Truist,... a leading financial institution, is seeking a Retail Brokerage Associate General Counsel to provide legal and regulatory advice to its retail broker-dealer and investment adviser affi......
Retail Brokerage Associate General Counsel is a full-time position available in 4 locations, including Charlotte, North Carolina, Atlanta, Georgia, Richmond, Virginia, and Washington, District of Columbia. The job falls under the category of Audit, Risk, Legal, and Finance and was...
Brokerage Associate General Counsel - Salary and Job Description Job Title: Retail Brokerage Associate General Counsel Location: Charlotte, North Carolina, USA; Atlanta, Georgia, USA; Richmond, Virginia, USA; Washington, District of Columbia, USA Experience: 8 years post-bar experience Category: Audit,...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
Legal to lead their attorney teams in high-impact investigations... 10 years of complex litigation experience, preferably involving securities... laws, and a minimum of seven years managing, leading, and directing employees in a senior capacity in a team environment. The VP...
VP, Associate General Counsel- Litigation and Arbitration H2: Job... Financial, a leading independent broker-dealer, is seeking a VP,... Counsel with experience in litigation and arbitration to join... in FINRA arbitrations and litigation matters, as well as... managing a docket of...
Summary: The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings...
and disability insurance Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any...
am able to perform the essential functions of the job with or without reasonable accommodation.* Select... Job Title: Assistant General Counsel, Regulatory Experience: 10+ years of legal practice experience specializing in advising retail broker-dealers Salary Range: $179,000 - $270,000... USD (based on location) Location:...
a leading fintech company that’s democratizing finance for all" SEO-friendly job title: Assistant General Counsel, Regulatory H1: **MEMBERS ONLY**SIGN UP NOW***. is hiring an Assistant General Counsel to join their growing Regulatory legal team. H2: About **MEMBERS ONLY**SIGN UP NOW***. Bold headline:...
mission at **MEMBERS ONLY**SIGN UP NOW***. is to democratize finance for all. We believe that everyone should have access to the financial tools and resources they need to live a better life. We’re proud to be an equal opportunity employer and we’re committed...
is seeking an experienced attorney to join their corporate... a focus on the broker-dealer and custodial platform business.... The ideal candidate will have at least 10 years of relevant experience in the financial services industry and must be able to...
is seeking an experienced attorney to join their team... business units, with a focus on the broker-dealer and custodial platform business.... The ideal candidate will have at least 10 years of relevant experience in the financial services industry and be...
is seeking an experienced attorney to join its corporate... legal advice team as Senior Vice President, Associate General Counsel. This position is responsible for providing strategic legal advice to various business units within the company and will report to the...
Friendly Job Title: Private Wealth Management Attorney, Vice President - Legal... H1: Join Our Legal Team as a Private Wealth Management Attorney H2: Vice President... Opportunity in New York experienced Private Wealth Management Attorney to join our legal......
Position: Corporate/SEC/Financial Services Attorney - Law Firm ... Salary: $175,000 - $225,000 per year Location: San Diego, CA Department: Legal Experience: Experience in securities law, specifically in the Investment Advisers Act of 1940, Securities Act of...
a leading financial institution, Truist is committed to hiring a diverse, talented workforce to support our customers and communities. We encourage all qualified candidates to apply for any open positions for which they are eligible. Truist is proud to be...
Senior Attorney, Office of the Corporate... on location and other factors. Experience Information: - A minimum of two years of professional experience at the SEC, a self-regulatory organization, a broker-dealer, or a law firm... is required. - Experience in corporate governance, regulation, enforceme...
office of a **MEMBERS ONLY**SIGN UP NOW***. Top Ranked Law... Firm seeks regulatory and securities attorney with 5+ years of... securities law experience in SEC and FINRA regulatory matters. The candidate will advise clients on SEC regulatory and securities issues and...