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United States
Posted On Sep 09, 26
Full-time Experience : 10-5 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance

Responsibilities: - Advise on broker-dealer and investment advisor regulatory... financial services, insurance, and broker-dealer laws - Stay updated... on regulations from FINRA, SEC, DOL, and state insurance authorities - Collaborate with internal teams to ensure legal compliance in business operations...

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Posted On Sep 09, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements banking Broker Dealer credit agreements derivatives family finance Insurance ISDA lending Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements banking Broker Dealer credit agreements derivatives family finance Insurance ISDA lending Securities

Title: Director Legal Counsel, Corporate Treasury Job Responsibilities: The Director Legal Counsel, Corporate Treasury, plays a critical role in providing strategic legal guidance to support the company's treasury activities. The main responsibilities include: - Supporting the Treasury Department in matters related to...

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Posted On Sep 09, 26
Full-time Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management Corporation ETFs family finance Insurance investment management marketing partnerships Securities Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management Corporation ETFs family finance Insurance investment management marketing partnerships Securities Visa

Title: Director Legal Counsel: Investment Company Attorney Job Responsibilities: - Prepare and file prospectuses and registration statements. - Advise on legal and regulatory requirements for registered funds, including money market funds subject to Rule 2a-7. - Draft and negotiate agreements...

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Posted On Sep 09, 26
Full-time Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets Case Law contracts equity FINRA Investment Banking licensing Litigation M&A Rule 144A securities laws tender offers
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets Case Law contracts equity FINRA Investment Banking licensing Litigation M&A Rule 144A securities laws tender offers

engagement letters, underwriting/purchase agreements, dealer manager agreements, rep letters,... NDAs, and other relevant documents. - Review registration statements, offering memorandum, counsel opinions, accountant comfort letters, and other transaction documents related to public and private offerings of securities. - Provide guidance...

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Posted On Sep 08, 26
Full-time Experience : 5-10 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist Job Responsibilities: - Handle and manage complex Employment Practices Liability Claims to determine appropriate valuation and settlement strategies, ensuring adherence to company policies. - Manage primary and excess claims for various company policy forms, with a focus on Employment...

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Posted On Sep 08, 26
Full-time Experience : Min 3 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist Job Responsibilities: - Manage complex Employment Practices Liability Claims by investigating, analyzing, and evaluating coverage to determine appropriate valuation and settlement strategies, ensuring adherence to company policies. - Handle and develop knowledge in Fiduciary Claims. - Attend mediations and monitor...

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Posted On Sep 08, 26
Full-time Experience : 5-10 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title:** Senior Claims Specialist **Job Responsibilities:** - Manage complex Employment Practices Liability Claims, determining valuation, settlement strategies, and ensuring adherence to company policies. - Attend mediations and monitor trials as necessary. - Draft coverage correspondence on primary claims, negotiate complex coverage issues, and recommend...

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Posted On Sep 08, 26
Full-time Experience : Min 3 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist Job Responsibilities: - Handling and managing complex Employment Practices Liability (EPL) Claims, determining appropriate valuation and settlement strategies while ensuring adherence to company policies. - Experience with Fiduciary claims is advantageous, though not mandatory. - Attending mediations and monitoring trials...

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Posted On Sep 07, 26
Full-time Experience : 5-10 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management regulatory compliance
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management regulatory compliance

Title: Legal Professional Job Responsibilities: - Preparation of prospectuses for financial offerings. - Ensuring regulatory compliance for registered funds. - Drafting and negotiating agreements with service providers. - Managing multiple legal projects simultaneously. - Collaborating with senior leaders and outside counsel to achieve legal and business...

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Posted On Sep 07, 26
Full-time 2 views Experience : 10-10 yrs required
Practice Area:
Transportation Corporate - Contract Law Corporate - Compliance Corporate - General Corporate - Technology Transactions
Job Tags:
acquisitions agreements Alternative Dispute Resolution brokers Commercial Contracts commercial litigation confidentiality agreements Contract Law contracts corporate compliance corporate governance Corporate Law corporate transactions customs compliance data privacy due diligence Ethics family finance global trade health insurance Insurance insurance coverage international trade Labor and Employment Litigation Management Employment Law Partnership partnerships RCRA regulatory compliance Software Transportation trials
Practice Area:
Transportation Corporate - Contract Law Corporate - Compliance Corporate - General Corporate - Technology Transactions
Job Tags:
acquisitions agreements Alternative Dispute Resolution brokers Commercial Contracts commercial litigation confidentiality agreements Contract Law contracts corporate compliance corporate governance Corporate Law corporate transactions customs compliance data privacy due diligence Ethics family finance global trade health insurance Insurance insurance coverage international trade Labor and Employment Litigation Management Employment Law Partnership partnerships RCRA regulatory compliance Software Transportation trials

Title: Corporate Lead In-House Counsel Job Responsibilities: The Corporate Lead In-House Counsel serves as the company's primary in-house legal advisor, providing strategic legal guidance to executive leadership while supporting all aspects of the organization's legal, regulatory, and compliance functions. Key responsibilities include: -...

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Posted On Sep 09, 26
Full-time 1 views Experience : Min 510 yrs required
Practice Area:
Real Estate- Commercial Transactions Real Estate - Finance Real Estate - Purchase and Sale (Commercial) Real Estate - Leasing Litigation - Real Estate - Defense Litigation - Foreclosure (Lender-side) Real Estate - General
Job Tags:
acquisitions brokers commercial real estate endorsements Litigation Secured lending title
Practice Area:
Real Estate- Commercial Transactions Real Estate - Finance Real Estate - Purchase and Sale (Commercial) Real Estate - Leasing Litigation - Real Estate - Defense Litigation - Foreclosure (Lender-side) Real Estate - General
Job Tags:
acquisitions brokers commercial real estate endorsements Litigation Secured lending title

Title: Commercial Real Estate Paralegal (On-Site) Job Responsibilities: - Support acquisitions, dispositions, refinancings, title and survey diligence, development projects, and portfolio operations. - Work directly with ownership, lenders, brokers, title companies, and key decision-makers. - Track critical dates, contingencies, and closing conditions across multiple...

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Posted On Sep 08, 26
Full-time 2 views Experience : Min 3 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers civil litigation commercial litigation company policies employee benefits evidence healthcare litigation HIPAA Insurance insurance recovery Litigation professional liability Software
Practice Area:
Insurance Defense - General
Job Tags:
brokers civil litigation commercial litigation company policies employee benefits evidence healthcare litigation HIPAA Insurance insurance recovery Litigation professional liability Software

Title Litigation and Claims Paralegal Job Responsibilities The Litigation and Claims Paralegal provides comprehensive legal and claims support to the organization's attorneys and claims professionals. Key responsibilities include: - Assisting with all phases of litigation, including case intake, investigation, discovery, and...

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Posted On Sep 09, 26
Full-time Experience : 5-7 yrs required
Job Tags:
ADA banking Broker Dealer Capital Markets derivatives equity finance Government Securities special projects
Job Tags:
ADA banking Broker Dealer Capital Markets derivatives equity finance Government Securities special projects

Title: Vice President, Compliance - Monitoring & Testing Job Responsibilities: The Vice President, Compliance at the company is a key member of the Compliance Monitoring and Testing Team and Core Compliance Group. The role involves: - Developing and designing annual and cycle-based...

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Posted On Sep 09, 26
Full-time Experience : Min 2 yrs required
Job Tags:
alcohol children Disability Benefits estates fiduciary FINRA health benefits Insurance regulatory compliance special projects trusts Visa wealth management Wills
Job Tags:
alcohol children Disability Benefits estates fiduciary FINRA health benefits Insurance regulatory compliance special projects trusts Visa wealth management Wills

Title: Fiduciary Associate Program Participant Job Responsibilities: - Participate in meaningful work assignments that contribute to ongoing fiduciary matters. - Support Trust Officers with issues related to fiduciary administration, distributions, discretionary decisions, and client engagement. - Develop a deep understanding of...

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Posted On Sep 09, 26
Full-time Experience : 5-7 yrs required
Job Tags:
ADA banking Broker Dealer Capital Markets equity evidence finance Government Securities special projects
Job Tags:
ADA banking Broker Dealer Capital Markets equity evidence finance Government Securities special projects

Title: Senior Compliance Officer - Monitoring and Testing (Associate) Job Responsibilities: The Senior Compliance Officer is a pivotal role within the Compliance Monitoring and Testing Team, a part of the Core Compliance Group at the company. This position covers the company's...

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Posted On Sep 09, 26
Full-time Experience : Min 15 yrs required
Job Tags:
banking Capital Markets equity Government Securities
Job Tags:
banking Capital Markets equity Government Securities

Title: Compliance Transformation Program Manager Job Responsibilities: - Lead program management for Compliance initiatives, ensuring governance, disciplined execution, and timely delivery of strategic, regulatory, remediation, and control-related priorities. - Maintain an integrated portfolio view of remediation commitments, including regulatory, audit, self-identified,...

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Posted On Sep 09, 26
Full-time Experience : 5-7 yrs required
Job Tags:
ADA banking Broker Dealer Capital Markets derivatives equity finance Government Securities special projects
Job Tags:
ADA banking Broker Dealer Capital Markets derivatives equity finance Government Securities special projects

Title: Vice President, Compliance - Monitoring & Testing Job Responsibilities: The Vice President, Compliance at the company plays a pivotal role within the Compliance Monitoring and Testing Team and the Core Compliance Group. The individual in this position will be...

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Posted On Sep 09, 26
Full-time
Job Tags:
ADA banking Capital Markets equity finance FINRA Government regulatory compliance Securities
Job Tags:
ADA banking Capital Markets equity finance FINRA Government regulatory compliance Securities

Title: VP, TDS . ORM Governance, Framework & Policy Job Responsibilities: The VP, TDS . ORM Governance, Framework & Policy is responsible for developing, enhancing, and maintaining governance frameworks that support operational risk management across TD Securities . The role involves...

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Posted On Sep 09, 26
Full-time
Job Tags:
ADA banking Capital Markets equity finance FINRA fraud Government Incorporation Investment Banking Partnership partnerships regulatory compliance Securities
Job Tags:
ADA banking Capital Markets equity finance FINRA fraud Government Incorporation Investment Banking Partnership partnerships regulatory compliance Securities

Title: Director, TDS . Operational Risk Management & Regulatory Change Job Responsibilities: The Director, TDS . Operational Risk Management & Regulatory Change is tasked with leading regulatory change initiatives, strategic risk management programs, and operational risk transformation activities across TD Securities ....

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Posted On Sep 09, 26
Full-time Experience : 5-7 yrs required
Job Tags:
ADA banking Broker Dealer Capital Markets equity evidence finance Government Securities special projects
Job Tags:
ADA banking Broker Dealer Capital Markets equity evidence finance Government Securities special projects

Title: Senior Compliance Officer - Monitoring and Testing (Associate) Job Responsibilities: The Senior Compliance Officer is a crucial member of the Compliance Monitoring and Testing Team and the Core Compliance Group at the company. This role involves working with regional...

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