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United States
Posted On Sep 23, 26
Full-time 44 views Experience : 4-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements

with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...

Posted On Sep 30, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
board of directors corporate governance equity family fiduciary FINRA M&A NASDAQ Securities Securities Exchange Act of 1934 Software
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
board of directors corporate governance equity family fiduciary FINRA M&A NASDAQ Securities Securities Exchange Act of 1934 Software

Title: Legal Counsel Job Responsibilities: - Provide expert legal counsel on securities regulation, public?company compliance, and corporate governance. - Ensure securities disclosures, filings, and governance practices meet . and applicable international requirements. - Manage outside counsel expertise effectively. - Build and maintain knowledge databases for...

Posted On Jul 13, 26
Full-time 2 views
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management

inquiries from regulators and law enforcement at the state and federal level, including the SEC, FINRA, DOJ, and various state... agencies. - Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production. This incl...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Vice President, Wealth Management Investigations Attorney Job Responsibilities: - Conduct and coordinate internal investigations involving potential employee misconduct, including serious violations of law or industry rules such as misappropriation, fraud, and insider trading, as well as internal violations of company policies. -...

Posted On Jul 07, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management

Title: Senior Investigations Attorney Job Responsibilities: - Manage a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business. - Conduct internal investigations involving potential employee misconduct. - Handle regulatory enforcement matters related to the company's broker-dealers, investment advisers, banks,...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Executive Director, Senior Wealth Management Investigations Attorney Job Responsibilities: The Executive Director, Senior Wealth Management Investigations Attorney at the company is tasked with managing a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business segment. This...

Posted On Sep 21, 26
Full-time 36 views Experience : Min 8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...

Posted On Sep 14, 26
Full-time 7 views Experience : 7-18 yrs required
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer

Title: Wealth Strategist Job Description: Company is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As one of the largest businesses of its kind in the world, it specializes in goals-based wealth management,...

Posted On Sep 14, 26
Full-time 9 views Experience : Min 3 yrs required
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - General
Job Tags:
agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - General
Job Tags:
agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour

Title: Assistant General Counsel - Human Resources Law Job Responsibilities: - Manage a docket of employment cases from pre-litigation through hearing/trial in various jurisdictions and forums. - Investigate allegations and oversee outside counsel in employment litigation matters. - Serve as...

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