Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the... OTC Markets Group. Must have 5-12 years of experience with strong experience in securities matters. Must be licensed in the home jurisdiction or be eligible for admission without examination. Application...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
Title: Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel Job ID: 210575343 Location: Columbus, OH, United States and 5 more Category: Counsel Company: JPMorgan Chase & Co. Department: Corporate Sector Overview: JPMorgan Chase & Co....
Overview: A nationally recognized law firm is seeking a seasoned Corporate Securities Attorney with 5–12 years of experience to join its growing Corporate Practice Group. This position will focus on federal securities law compliance and regulatory filings and is ideal...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Operations Manager, Compliance Operations Duties: The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared for the firm's Registration Department for filing with FINRA in a timely manner.... Review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that requ... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Compliance - Personal Account Dealing – Vice President The candidate will assist with policy, procedure and strategic initiatives on the Personal Account Dealing Team within the Global Employee Compliance area. The focus will be on industry regulations and firm wide controls related to insider trading, conflicts of interest, employee disclosure and registration requirements, response to regulatory inquiries, and global consistency of the firm’s policies and proc... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Attorney Duties: The candidate will reports to the District Public Defender and Deputy District Public Defender. Works closely with the District Three leadership team to maintain a high standard of representation through ensuring accountability while fostering mentorship, teamwork, and communication. Supervises attorneys handling misdemeanor and felony cases as well as other professional and support staff. Monitors the attorney caseloads and the distribution of c... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Duties: Will join the structured products execution team. Will be working within a team of paralegals (NY Structured Products Execution Team (SPET)) in the Legal Department and will be handling structured product issuances primarily off various company's structured products issuance programs, such as the SEC shelf registration statement, 3(a)(2) and 4(a)(2) programs, structured CDs, as well as certain standard documentation and processes relating to various derivat... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
- Structured Products Execution Team The candidate will be working within a team of paralegals (NY Structured Products Execution Team (SPET)) in the Legal Department and will be handling structured product issuances primarily off various Barclays structured products issuance programs, such as the SEC shelf registration statement, 3(a)(2) and 4(a)(2) programs, structured CDs, as well as certain standard documentation and processes relating to various derivatives pro... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
- Structured Products Execution Team The candidate will be responsible for interacting with various Company personnel, including members of sales, structuring, risk, credit and coverage teams within Legal in connection with day-to-day responsibilities. Will be drafting and assisting in drafting various documents, such as term sheets, disclosure documents, notes, and confirmations. Drafting and assisting with distribution and dealer agreements. Coordinating the fina... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Securities Paralegal Duties: The candidate will prepare and file Form IDs with the SEC to obtain EDGAR codes. Prepare and file Form Ds with the SEC and the states. File Form As and Ds with the states, either electronically through EFD or by paper. Coordinate preparation of Form 13F. Perform blue sky research re: state exemptions. Prepare and file state registration and/or exemption documents. Prepare first drafts of response letters to state comment letters. Monito... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Operations Manager, Compliance Operations Duties: The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by manag... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
In-house Mutual Fund Compliance/ 1940 Act Paralegal The candidate should have 3+ years of securities compliance/1940 Act experience at a large law firm, investment company or Hedge Fund. Experience in assisting with 1940 Act filings and FINRA requirements required.... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here