Corporate - Securities and Capital Markets Attorney / Corporate - Compliance Attorney / Finance - Banking Attorney / Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Corporate - General Attorney / Finance - General Attorn

In-House • **Members Only** New York City, NY

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Posted On Sep 11, 26

Full-time 3 views Experience : Min 10 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General

Job Tags:

Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: 1. Bank Regulatory and Enterprise Advisory: - Provide legal counsel regarding core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity...

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Corporate - Compliance Attorney / Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - Technology Transactions Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Atlanta,

In-House • **Members Only** Atlanta, GA

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Posted On Sep 11, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General

Job Tags:

Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel will be responsible for providing legal advice and strategic counsel on a wide range of matters involving prudential banking...

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Sep 09, 26

Full-time 1 views 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

Title Assistant General Counsel - Capital Markets - Vice President Job Responsibilities - Draft and negotiate engagement letters, underwriting/purchase agreements, dealer manager agreements, rep letters, NDAs, and other relevant documents. - Review registration statements, offering memorandum, counsel opinions, accountant comfort...

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Administrative Law Attorney / Government / Public Law Attorney / Government - General Attorney in Radnor, PA

In-House • **Members Only** Radnor, PA

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Posted On Sep 09, 26

Full-time 1 views Experience : 10-5 yrs required

Practice Area:

Administrative Law Government / Public Law Government - General

Job Tags:

distribution agreements FINRA Insurance regulatory compliance

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 - Draft and review legal documents related to compli...

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Administrative Law Attorney / Government - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Sep 09, 26

Full-time 1 views Experience : 5-10 yrs required

Practice Area:

Administrative Law Government - General

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: The VP, Assistant General Counsel - Brokerage will be responsible for providing comprehensive legal support and guidance to the brokerage department within the company. Key responsibilities include: - Advising on a wide range...

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Attorney in New York City, NY (Remote)

In-House • **Members Only** New York City, NY

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Posted On Sep 09, 26

Full-time

Job Tags:

ADA banking Capital Markets equity FINRA Government NASDAQ NYSE Securities securities laws

Title: Director, Equities Compliance Advisory Job Responsibilities: - Advise business areas on firm policies and procedures, regulatory requirements, and industry best practices. - Identify regulatory trends and developments that impact business areas, and advise staff on how this may influence...

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Attorney in New York City, NY (Remote)

In-House • **Members Only** New York City, NY

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Posted On Sep 10, 26

Full-time 2 views Experience : 6-8 yrs required

Job Tags:

ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital

Title: Senior Principal Consultant, (Chief Compliance Officer) Job Responsibilities: The Senior Principal Consultant, serving as a Chief Compliance Officer, is tasked with a comprehensive range of responsibilities pivotal to maintaining and enhancing regulatory compliance. Key duties include: - Leading or assisting in mock...

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Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Sep 10, 26

Full-time 1 views Experience : 10-10 yrs required

Job Tags:

banking equity FINRA hedge funds Insurance investment management private equity wealth management

Title: International Private Bank- Team Lead Banker- Managing Director (EEA Market) Job Responsibilities: - Manage and build relationships with Ultra High Net Worth clients, focusing on trust-building, understanding client needs, providing targeted advice, developing solutions, and delivering exceptional client experiences. - Generate business...

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Law Student - In-House in York, PA

In-House • **Members Only** York, PA

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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

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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Attorney in New York City, NY (Remote)

In-House • **Members Only** New York City, NY

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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

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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Legal Staff Paralegal in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Sep 07, 26

Full-time 2 views Experience : Min 8 yrs required

Practice Area:

Corporate - General Corporate - Compliance

Job Tags:

acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying restructuring Securities Software title

Senior Corporate Paralegal Job Responsibilities: The Senior Corporate Paralegal at the company is tasked with providing comprehensive support to the Global Legal & Compliance team. Key responsibilities include: - Supporting corporate governance activities such as maintaining corporate records, minute books, managing subsidiaries, preparing...

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Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Sep 08, 26

Full-time Experience : Min 4 yrs required

Job Tags:

Affirmative Action Capital Markets developers employee benefits finance Financial Institutions FINRA Investment Banking licensing Securities Visa

Title: Control Room Associate Job Responsibilities: The Control Room Associate is responsible for supporting the day-to-day management of the company's Control Room (CR) and Registration programs. This includes implementing and maintaining a compliance framework to identify, assess, and mitigate regulatory risks related...

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Attorney in Pittsburgh, PA (Remote)

In-House • **Members Only** Pittsburgh, PA

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Posted On Sep 08, 26

Full-time 1 views Experience : Min 5 yrs required

Job Tags:

asset management child criminal fiduciary Financial Industry Regulatory Authority FINRA Insurance licensing marketing pension spouse title

Title AMG Product Specialist Sr Job Responsibilities - Supports the team in executing strategies including updating policies, procedures, and processes to ensure consistent execution. - Collaborates with team members and other business leaders/employees to provide solutions and support the delivery of...

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Attorney in New York City, NY (Remote)

In-House • **Members Only** New York City, NY

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Posted On Sep 08, 26

Full-time 1 views Experience : Min 7 yrs required

Job Tags:

advertising ETFs finance Financial Institutions FINRA health benefits hedge funds licensing marketing Privacy regulatory compliance Software stock options title

Senior Manager of Compliance Location: Remote - Americas Job Description: Who We Are: Company is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Amongst its subsidiaries, Company is a licensed financial services company,...

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Attorney in Minneapolis, MN

In-House • **Members Only** Minneapolis, MN

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Posted On Sep 06, 26

Full-time 2 views Experience : 7-11 yrs required

Job Tags:

Bank Secrecy Act equity Estate Planning Ethics family FCPA fiduciary finance FINRA Insurance OFAC pension stage wealth management

Title: Ascent Managing Director of Wealth Strategy Job Responsibilities: The Ascent Managing Director of Wealth Strategy serves as the client lead for trust, tax, and planning matters and acts as the primary liaison between the front office and specialized fiduciary services (SFS)....

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney / Finance - Banking Attorney / Finance - Project Finance Attorney / Finance - Structured Finance Attorney / Finance - Financial Services Regulation Attorney / Finance - Gen

In-House • **Members Only** New York City, NY

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Posted On Aug 28, 26

Full-time 2 views Experience : Min 5 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General Finance - Banking Finance - Project Finance Finance - Structured Finance Finance - Financial Services Regulation Finance - General

Job Tags:

Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits Energy equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa

Title: Investment Banking In-House Finance Counsel Job Responsibilities: The successful candidate for the Investment Banking In-House Finance Counsel position at the company will be responsible for providing legal counsel on various legal and regulatory issues, particularly in support of the Corporate &...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Sep 01, 26

Full-time 2 views Experience : Min 6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, ensuring compliance with applicable rules, regulations, and assessing legal risks related to the brokerage and investment advisory business. - Draft,...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Aug 28, 26

Full-time 4 views Experience : Min 6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

Title: Vice President, Assistant General Counsel Job Responsibilities: - Provide strategic legal advice related to the onboarding, due diligence, sales, and ongoing controls of Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the alternative investments platform, ensuring compliance...

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Corporate - Compliance Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - Contract Law Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Omaha, NE

In-House • **Members Only** Omaha, NE

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Posted On Aug 26, 26

Full-time 1 views Experience : 10-10 yrs required

Practice Area:

Corporate - Compliance Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - Asset/Investment Management Corporate - General

Job Tags:

advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

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Corporate - Asset/Investment Management Attorney / Corporate - Compliance Attorney / Tax - Employee Benefits & Executive Compensation Attorney / Tax-General Practice (Transaction) Attorney / Corporate - General Attorney / Tax - General Attorney in Hartfor

In-House • **Members Only** Hartford, CT

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Posted On Aug 26, 26

Full-time 1 views Experience : 10-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - General

Job Tags:

advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

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