Advisor Attorney-Vice President, Assistant General Counsel- JPMorgan Asset Management H1: Join Our Legal Team as an Experienced Attorney in Investment Management H2: Elevate Your Career and Shape the Future of . Funds Management Overview: - JPMorgan...
years of experience in broker-dealer regulatory and compliance matters... Experience with federal and state securities laws and self-regulatory organization (FINRA, securities exchanges, agencies) rules Experience with broker-dealer financial responsibility rules, including... and 15c3-3 Experience with broker-dealer registration and transactional matters......
Friendly Job Title: Lead Sr Counsel - Investment Banking and Capital Markets H1: Join **MEMBERS ONLY**SIGN UP NOW***. as Lead Senior Counsel for Investment Banking and Capital Markets H2: Impact the Success of **MEMBERS ONLY**SIGN UP NOW***.'s Investment Banking and Capital Markets Services...
Law Firm: **MEMBERS ONLY**SIGN UP NOW***. Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
Cleary Gottlieb: Mid-Level Associate Position in Financial Institutions Group H2: Join Our Team: Mid-Level Associate for Financial Institutions Group at Cleary Gottlieb Law Firm: **MEMBERS ONLY**SIGN UP NOW***. Job Title: Mid-Level Associate in Financial Institutions Group Experience: 3-5 years of regulatory experience...
**MEMBERS ONLY**SIGN UP NOW***. is seeking an experienced Counsel to join our growing securities group in New York. The ideal candidate should have at least nine years of experience in various areas of public company rules and regulations, as well as...
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:...
Manager's Equity Finance businesses, which include Prime Finance, Securities Lending, Clearing and Settlement, and OTC derivatives. The role involves providing advice on broker-dealer regulations and new or... existing products or services related to these businesses. The attorney will coordinate t...
Title: Attorney-Equity Derivatives Salary: Competitive, based on experience Experience: 4+ years at a law firm and/or in-house at a financial company H1: Bank of America is Hiring an Attorney-Equity Derivatives in New York H2: Join our Team and Make...
Cboe, a leading financial platform, is seeking an Assistant General Counsel and Director to provide legal support to their . options and equities exchanges regulated by the SEC. This is a full-time, hybrid position, with a salary range of...
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...
the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting. The position of Senior Lead Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid) is...
Lead Counsel 1/SVP - Derivatives Regulatory Legal (Hybrid): A senior legal role focusing on regulatory and business change projects in the financial services industry, with a competitive salary and a comprehensive benefits package. Responsibilities: - Providing legal advice on regulatory change developments...
The SVP, Associate General Counsel position at **MEMBERS ONLY**SIGN UP NOW***. is seeking an experienced attorney to join their corporate legal advice team. The role involves providing strategic legal advice to various a focus on the broker-dealer and custodial platform business.......
candidate will work on broker-dealer and derivatives regulation. Matters... will include providing regulatory advice, preparing regulatory applications, developing policies and procedures, and supporting transactions and regulatory enforcement proceedings. Have experience in this area at a top law firm, financial institution...
Stifel is Hiring a Deputy General Counsel for their Institutional Group H2: Join a Culture of Success at Stifel H2: Responsibilities of the Deputy General Counsel H2: Qualifications and Skills Required H2: Benefits and Compensation Offered by Stifel H2: About...
President & Counsel - Derivatives, Trading and Markets: Apply for a senior legal role at PIMCO with a focus on derivatives, trading, and capital markets. Location: Newport Beach, CA USA or New York, NY USA Type: Full...
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 and Dallas Bold Headline: Experience the Intersection of...
Title: Senior Vice President, Counsel- BNY Pershing Wealth Services Platform Location: New York, NY, United States • Pittsburgh, PA, United States • Lake Mary, FL, United States Job Type: Hybrid (3 days in office) Job ID: 63504 Overview:...
Join JPMorgan Asset Management as our US Advisor Attorney-Vice President, Assistant General Counsel and make a significant impact in the financial industry H2: Elevate your career with us and work with one of the largest and most diverse fund complexes...
Title: Associate Attorney - Legal and Regulatory H1: Join Our Team as an Associate Attorney at **MEMBERS ONLY**SIGN UP NOW***. H2: Exciting Opportunity in Legal and Regulatory at **MEMBERS ONLY**SIGN UP NOW***. Location: New York, New York Time Type: Full Time Posted On: Posted Yesterday Job Requisition ID:...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC – Wealth Management Platforms, Programs & Advisory Attorney is responsible for providing strategic legal advice to various business units within the company. This position involves...
Title: Senior Lead Counsel 1/SVP - North America Legal Entity Governance Job Responsibilities: The Senior Lead Counsel 1/SVP is responsible for serving as a subject matter expert and legal advisor to business stakeholders, functional partners, and certain US subsidiary boards...
PCAOB Department: Office of Board Members Job Title: Audit Board Fellow - Fall 2025 Experience Level: Entry Level Job Type: Part-Time Salary: Graduate students: , students: Location: Washington, DC; Philadelphia, PA; Fort Lauderdale, FL; San Francisco, CA; New...
Firm is seeking an Experienced Corporate Paralegal to join its team. The ideal candidate must have knowledge of SEC rules and using the EDGAR system, as well as experience with proxy statements for both domestic and foreign private issuers and...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Trade Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. The role entails maintaining... the Surveillance function to reduce and identify risks related to market abuse through the management of controls and reviews over the trades, orders, and communicat...
Trade Surveillance for the Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Your primary duties will... include maintaining the Surveillance function to identify and mitigate risks related to market abuse by managing controls and reviews over the trades,...
or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker-dealers. As an Associate... Director of Compliance, you will: - Lead or Support an entire sales cycle; pitches, proposals, follow-ons and general co...
Senior Vice President, Compliance Officer **MEMBERS ONLY**SIGN UP NOW***. is seeking a dynamic individual to serve as a Senior Compliance Officer within the global compliance team of its Legal and Compliance Department. The Compliance Officer will support the . Registered Funds 38a-1...
Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets - Vice President Job Description: - Provide real-time advisory services to the Capital Markets businesses (., ECM, Leverage Debt Capital Markets (LDCM), Debt Capital Markets (DCM))...
Friendly Job Title: Tax Planning Consultant at BRC - Guardian Life H1: Join Our Team as a Tax Planning Consultant at Guardian Life H2: Advance Your Career in the High Net Worth and Business Owner Market Key Points:...
Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX - Vice President Apply locations New York, 1 Columbus Circle time type Full time posted on Posted 30+ Days...
- AML/Audit Consulting (Global Banks) Apply locations New York time type Full time posted on Posted Yesterday job requisition id JR110357 We are the leading provider of professional services to the...
Principal Investigator, NCP - IRG - Any Finra Location locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
Enforcement Apply Logo locations New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL (Job Posting)...
MS OPS - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008908 The Director will provide strategic leadership and guidance and establishes procedures...
E - Advisory - Senior Consultant - AML Risk Management and Governance Forensic Same job available in 5 locations Atlanta, Georgia, United States Boston, Massachusetts, United States Charlotte, North Carolina, United States New York, New...
- Seeking experienced Compliance Training and Development Specialist to join highly regulated broker dealer firm - Responsible... for designing, implementing, and overseeing comprehensive compliance training programs - Develop and update training materials, conduct training sessions for employees at...
Analyst Job in New York, NY Job Title: Compliance Analyst Company: Jefferies Financial Group Inc. Department: Compliance Salary Range: $70,000 - $75,000 per year Experience Level: 0-3 years Job Schedule: Full time Locations:...
Principal Analyst, Fixed Income Regulation - Salary Information Job Title: Lead Principal Analyst, Fixed Income Regulation Experience: Minimum of 8 years in regulatory, compliance, or securities industry Salary Range: • New York, NY: Minimum $111,400, Maximum $232,500 •...
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,...
- Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations - Organization: FINRA (Financial Industry Regulatory Authority) - Job Type: Full Time - Location: Multiple locations across the United States (see job posting for specific locations) -...
Analyst, Dispute Resolution - Salary Information, Job Title and Experience Information Job Title: Principal Analyst, Dispute Resolution Experience: 5+ years of related experience Salary Information: Salary ranges vary based on location, experience, and other factors. Please refer...
Director, Examinations - All FINRA Locations The Senior Director, Examinations will lead and implement the strategic direction of the examination program for a particular firm grouping at **MEMBERS ONLY**SIGN UP NOW***. This role will develop and implement strategic plans and initiatives, collaborate...
Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets - Assistant Vice President **MEMBERS ONLY**SIGN UP NOW***. is seeking a Compliance Officer to join their Investment Bank Compliance team in New York City. This individual will focus on providing...
law firm in New York City, NY, is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their team. The ideal candidate will possess extensive experience in securities law, corporate governance, and compliance, with a strong understanding of...