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United States
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
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...

Posted On Sep 15, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Corporate - General Corporate - Contract Law Corporate - Compliance
Job Tags:
acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying Privacy restructuring Securities Software
Practice Area:
Corporate - General Corporate - Contract Law Corporate - Compliance
Job Tags:
acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying Privacy restructuring Securities Software

Title: Senior Corporate Paralegal Job Responsibilities: - Support corporate governance activities by maintaining corporate records and minute books, managing subsidiaries, preparing for board meetings, drafting resolutions and consents, and maintaining compliance-related documents. - Maintain qualifications, registered agent relationships, annual report filings for domestic...

Posted On Jul 12, 26
Full-time 2 views Experience : 5-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage

Title: Senior Corporate Counsel - Securities Capital Markets Job Responsibilities: The Senior Corporate Counsel will join the Capital Markets Legal Team, providing legal support to the Global Capital Markets (GCM) business line, including the Debt Capital Markets Group and other related business...

Posted On Sep 28, 26
Full-time 3 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 certain funds registered under the Investment Company Act of 1940. - Provide legal support...

Posted On Sep 21, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
International Trade Government and Government Relations Government - General
Job Tags:
AML child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Insurance lending licensing Money Laundering pension regulatory compliance spouse title
Practice Area:
International Trade Government and Government Relations Government - General
Job Tags:
AML child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Insurance lending licensing Money Laundering pension regulatory compliance spouse title

Title Senior Counsel Anti Money Laundering and Sanctions Job Responsibilities The Senior Counsel for Anti Money Laundering and Sanctions is tasked with performing significant and complex legal work while regularly interacting with management. Key responsibilities include: - Providing guidance to the...

Posted On Sep 28, 26
Full-time Experience : Min 8 yrs required
Practice Area:
Trusts and Estates - General
Job Tags:
child corporate governance criminal estates Ethics Financial Industry Regulatory Authority FINRA Insurance licensing Partnership pension Privacy regulatory compliance spouse title
Practice Area:
Trusts and Estates - General
Job Tags:
child corporate governance criminal estates Ethics Financial Industry Regulatory Authority FINRA Insurance licensing Partnership pension Privacy regulatory compliance spouse title

Title Counsel, Trust and Estates Job Responsibilities - Identifies and manages legal risk for the organization. - Conducts research, provides procedural legal advice, and participates in supporting and resolving significant legal matters. - Provides enterprise perspective and partnership to inside and outside legal counsel. - Reviews...

Posted On Aug 14, 26
Full-time Experience : 10-15 yrs required
Job Tags:
board of directors Capital Markets equity family FINRA NASDAQ restructuring Securities securities laws title
Job Tags:
board of directors Capital Markets equity family FINRA NASDAQ restructuring Securities securities laws title

VP, US Listings Qualifications Job Title: VP, US Listings Qualifications Job Responsibilities: - Drive the strategic direction of the listings regulatory program. - Lead and motivate a team of regulatory analysts responsible for reviewing listing applications and monitoring companies and ETPs for compliance with...

Posted On Jun 30, 26
Full-time 10 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management

Title: Vice President, Assistant General Counsel, Cybersecurity Job Responsibilities: The Vice President, Cybersecurity Attorney will serve as the company's lead legal advisor on cybersecurity matters. Key responsibilities include: - Advising on legal and regulatory obligations related to cybersecurity incidents, including materiality assessments,...

Posted On Jul 03, 26
Full-time 5 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management

Title: VP, Assistant General Counsel, Cybersecurity Job Responsibilities: - Advise on legal and regulatory obligations applicable to cybersecurity incidents, including materiality assessments, regulatory notifications, disclosure requirements, and client/advisor communications. - Serve as the primary legal advisor for incident response, working closely...

Posted On Sep 21, 26
Full-time 7 views Experience : 8-12 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
artificial intelligence directors FINRA Investment Advisers Act of 1940 Media Partnership title Visa
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
artificial intelligence directors FINRA Investment Advisers Act of 1940 Media Partnership title Visa

Partnership Executive Consultant Job Responsibilities: - Provide senior-level compliance consulting services to investment advisers, broker-dealers, and private fund managers. - Manage ongoing client relationships and deliver high-quality service across both annual engagements and project-based work. - Conduct and lead complex compliance reviews, both remote...

Posted On Aug 12, 26
Full-time 2 views Experience : Min 12 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters

Title: Senior Regulatory Counsel (Securities) Job Responsibilities: - Deliver timely, pragmatic, and business-oriented legal counsel to senior management and across all levels of the organization. - Identify and evaluate legal and business risks to support strategic decision-making. - Work closely with internal business teams...

Posted On Sep 24, 26
Full-time 1 views Experience : Min 5 yrs required
Job Tags:
advertising ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC marketing Mutual Funds Privacy Securities Transportation
Job Tags:
advertising ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC marketing Mutual Funds Privacy Securities Transportation

Us: Company offers one of the largest lineups of ETFs, with over $100 billion in assets. The company is a leader in strategies such as crypto, dividend growth, interest rate hedged bond, and geared (leveraged and inverse) ETF investing. Company continues...

Posted On Sep 21, 26
Full-time 18 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. - Develop and deepen client relationships through needs-based, high-level client service and delivery of the full suite of wealth solutions. -...

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