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Los Angeles General Counsel Broker Dealer Jobs in In-House - Related Job Titles

Corporate Securities Counsel
United States
Posted On Jul 26, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management

not limited to corporate agreements, commercial contracts, and vendor agreements. - Provide advice and counsel on structuring, drafting, negotiating,... and interpreting contracts and relevant legal and regulatory requirements. - Support third-party matters and provide risk-based and business-minded advice to clients. - Identify a...

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers.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.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

Assistant General Counsel, Group Retirement The... candidate will handle a wide-array of legal issues and regulatory inquiries of Group Retirement’s registered broker-dealer/investment adviser (the “Firm”). Will... be working closely with senior business and compliance professionals in addressing both day-to-day legal issues involving the Firm as well as supporting routine exams and for-cause matters with state/federal securities regulators and self-regulatory organizations... 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Note: This job is no longer active.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 The candidate will... lead and oversee strategic direction of Legal functions for firm, and work on a broad variety of legal and regulatory matters as we establish a Broker-Dealer for Security Token Offerings... (STOs). Will dvise the Executive Team on legal strategy and risks associated with the company’s broker-dealer operations, regulatory compliance, employment... and securities law. Analyze and provide guidance on evolving laws, rules, regulations, and trends imp... 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

Transactional Attorney - Part-Time The candidate will provide transactional legal guidance to the team. Provide legal/advisory opinions in the formulation of business initiatives. Perform corporate contract reviews to ensure compliance with pertinent laws, regulations and corporate policy. Contract reviews will include: general service agreements, leases, Human... Resources contracts, such as financial advisor agreements and offer letters, underwriting agreements. Assist execut... 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

Associate Counsel Duties: Will draft all... relevant documentation including registration statements filed with the Securities and Exchange Commission and insurance contracts filed with the state insurance departments. General contract review, contract drafting... and negotiation in relation to ordinary course transactions (in particular for distribution-related matters) and business initiatives, drafting of policies and procedures in relation to corporate and business unit initia... 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 Duties: Lead... all of the legal, regulatory and compliance functions for the firm and be an active member of the Senior Management Team. Managing outside counsel and regulatory consulting firms,... negotiating real estate operating agreements and critical contracts and running all regulatory and compliance functions for the Registered Investment Advisor (RIA) and soon to be formed Broker/Dealer (BD). Serve on executive... committee, participate in Board meetings, a... 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

Senior Counsel The candidate will support... developing distribution channels for life, health and annuity products, as well as support the products and services of broker-dealer and registered investment adviser.... Will provide well-reasoned, concise counsel on current, proposed or... anticipated business activities, while balancing business oriented goals with legal risk. Provide advice on legal issues to various levels of staff and management at Financial (fixed and variable insu... 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

VP, Chief Compliance Officer, Investments The candidate responsible for developing and monitoring broker dealer, RIA and Insurance... compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff;... and reviewing prospectuses, applications, and advertising materials. It is also ex... 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

Vice President or Senior Vice President – Structured Credit The candidate will communicate with internal and external providers of capital to pre-issuance warehouse facility; Participate in and negotiate the drafting of CLO governing documents, working closely with manager’s counsel and arranger; Build and... maintain direct relationships with important investors, particularly AAA and Equity tranche investors; Collaborate with US Senior Loan product specialist to develop market... 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 Officer The candidate will be responsible for: Lead, mentor and manage the Business Conduct Department. Design and implement company-wide compliance strategy. Oversee Anti-Money Laundering compliance. Oversee a team responsible for on-site examinations and regulatory branch inspections. Manage testing and reports for annual FINRA Rule 3012 and NYSE Rule on the firm's supervisory process and annual SEC Rule 206(4)-7 compliance review. Act as a point of... 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

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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

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