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United States
Posted On Sep 28, 26
Full-time 4 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as a legal advisor to one or more registered investment advisers that manage private credit funds and other investment vehicles, including funds registered under the Investment Company Act of 1940. - Provide legal support on...

Posted On Sep 21, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

Title: Wealth Strategist II Job Responsibilities: - Develops, consults on, and implements tax, estate, and financial plans for clients. - Collaborates with more senior planning resources on complex matters and specific subject matters. - Partners in acquiring new clients and works to retain, expand,...

Posted On Sep 21, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

Title: Wealth Strategist III Job Responsibilities: - Develop, consult on, and implement tax, estate, and financial plans for clients, including complex cases. - Collaborate with other planning resources on complex subjects and partner in acquiring new clients. - Retain, expand, and deepen existing client...

Posted On Sep 21, 26
Full-time 7 views Experience : 8-8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients, focusing on developing and deepening client relationships through needs-based, high-level client service. - Deliver the full suite of company wealth...

Posted On Sep 29, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps
Practice Area:
Administrative Law Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps

Title: Attorney - Regulatory Counsel Team Job Responsibilities: - Provide legal and regulatory guidance to support the company's compliance program. - Interface directly with trading, technology, operations, and legal teams, as well as external regulators and market participants. - Advise company personnel about regulatory...

Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
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...

Posted On Jul 06, 26
Full-time 3 views Experience : 10-10 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing

Title: AVP, Legal, Distribution Counsel Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and tactical support to the company's wholesale and retail distribution organizations. - Serve as a trusted legal advisor and subject matter resource on regulatory requirements and industry...

Posted On Sep 09, 26
Full-time 2 views 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

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...

Posted On Jul 08, 26
Full-time 2 views Experience : 7-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws

brokerage and wealth platform. - Advise on the design, distribution, and oversight of brokerage capabilities and investment products. - Provide legal guidance on regulatory requirements under the Securities Exchange Act, FINRA rules, and other applicable... laws. - Manage complex legal projects and initiativ...

Posted On Aug 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title

Assistant General Counsel, Retail Brokerage Platform Job Responsibilities: The Assistant General Counsel for the Retail Brokerage Platform at the company plays a crucial role in supporting the Personal Wealth business, specifically focusing on the retail brokerage and wealth platform that serves over...

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