Legal jobs

Operations Manager, Compliance Operations Duties: The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared for the firm's Registration Department for filing with FINRA in a timely manner.... Review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that requ... 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Note: This job is no longer active.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 - Personal Account Dealing – Vice President The candidate will assist with policy, procedure and strategic initiatives on the Personal Account Dealing Team within the Global Employee Compliance area. The focus will be on industry regulations and firm wide controls related to insider trading, conflicts of interest, employee disclosure and registration requirements, response to regulatory inquiries, and global consistency of the firm’s policies and proc... 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Note: This job is no longer active.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

Paralegal The candidate will investigate and propose responses to “escalated complaints” and litigation, in partnership with the Company’s Legal and/or Compliance Departments. Will be responsible for thoroughly investigating these matters, and providing a factual narrative with supporting documents to the Legal Department. Also be asked to create draft responses to customers, with guidance from the Legal Department, and to perform root cause analysis and provide... 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

- Structured Products Execution Team The candidate will be working within a team of paralegals (NY Structured Products Execution Team (SPET)) in the Legal Department and will be handling structured product issuances primarily off various Barclays structured products issuance programs, such as the SEC shelf registration statement, 3(a)(2) and 4(a)(2) programs, structured CDs, as well as certain standard documentation and processes relating to various derivatives pro... 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

- Structured Products Execution Team The candidate will be responsible for interacting with various Company personnel, including members of sales, structuring, risk, credit and coverage teams within Legal in connection with day-to-day responsibilities. Will be drafting and assisting in drafting various documents, such as term sheets, disclosure documents, notes, and confirmations. Drafting and assisting with distribution and dealer agreements. Coordinating the fina... 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 - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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

Counsel - Securities and M&A The candidate will work with a strong focus on M&A as well as corporate structures and formation and maintenance of corporate entities; preparation of wide range of proxy and Form 10-K disclosures related to compensation as well as familiarity with tax issues, including IRC Sections 162(m) and 409A. Will support securities law compliance and periodic SEC reporting. Provide assistance with corporate governance and public company Board matte... 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 have a Strong focus on M&A as well as corporate structures and formation and maintenance of corporate entities. Should have 7 years’ experience in broad range of corporate and M&A legal issues.; . Degree and Law License. Must have strong client development/relationship skills. Experience with M&A activity is required. Must have familiarity with tax issues. Expertise in corporate structures and formation and maintenance of corporate en... 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

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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 Compliance Advisor - Sales Practice Compliance The candidate will consult with senior managers of business units on complex compliance matters. May assist in oversight of state, federal, domestic and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New... York, and/or the State of Delaware, as applicable. Evaluate the effectiveness of existing processes and recommend new processes that mos... 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