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Litigation Paralegal The candidate will be responsible for: preparation of pleadings and litigation forms for filing in North Carolina Courts, compilation of discovery documents, organization of documents and exhibits, management of docket and calendar deadlines, drafting of routine correspondence, and...
Paralegal The candidate will be assisting attorneys with preparing and filing necessary documents for state blue sky securities' registrations and SEC filings. Will also be responsible for maintaining corporate record books for corporate clients. Should have a Bachelor’s degree and/or...
similar information from other departments at company. Compile and incorporate researched conflicts data into FINRA Questionnaires related to various... capital markets transactions. Review, process and approve shelf registration Form 415s and 144As (internal forms for purposes of company's transaction manageme...
Advising the desk on FINRA/SEC rules (33 act, 34... act, CFTC). Should have 2-4 years of experience with capital markets transactions or derivatives transactions or, a recent law school graduate who has worked as a paralegal in these areas. 33...
Capital Markets / Derivatives Attorney Responsibilities: Will provide legal coverage to Equity Derivatives – Investor Solutions group. Products covered include 3(a)(2), Reg S and SEC-registered structured notes linked to a variety of asset classes, ) exchange traded notes and proprietary...
Legal Counsel Duties: Support the expanding personal investments businesses of Personal and Workplace Investing arm. Support business initiatives, projects and processes designed to serve the needs of retail brokerage and investment advisory. Will be diverse, but are expected to...
Surveillance for Compliance Controls Responsibilities: Will involve working with relevant compliance, legal, technology, and business partners to establish priorities and identify solutions. Review and evaluate e-comm messages generated by the e-comm surveillance system and reviewed by the Supervisors, as part...
Management and Investment Funds Attorney Specialist The candidate will support attorneys with the formation and operation of private investment funds, negotiation of side letters on behalf of sponsors and investors, and the marketing of fund interests and separate accounts. Will...
Counsel - Crowdfunding The candidate, under the direction of the Assistant General Counsel, Commercial and Marketing, will play an immediate and direct role in the crowdfunding activities, partnering with various internal stakeholders and advising the company on pertinent regulatory requirements...
Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide...