Legal jobs

Analyst, Customer Complaints The candidate will document receipt and resolve customer complaints promptly. Partner with Compliance, Supervision, Legal, and Operations resources to ensure proper handling of the complaint, including investigation and any required filing. Work with advisor and supervisor to gather information as part of the complaint investigation and documentation required for the complaint file. Work with customers to gather additional information... 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Note: This job is no longer active.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 support in-house and outside counsels’ defense efforts on FINRA Arbitration and Litigation Cases... including: Enter FINRA arbitration and civil litigation... cases on the databases, gather all documents and information related to cases. work with relativity e-discovery system, monitor activity of cases primarily for IFP, IFA, DSL, INGAE, IIA, systematized benefits association, act as liaison between counsel and client in coordinating discovery respo... 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Note: This job is no longer active.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 Analyst - Customer Complaints Duties: Will be responsible for reviewing and responding to customer complaints and completing all required regulatory filings (FINRA Rule 4530, Form U4... and Form U5). Will analyze the written or verbal complaint, determine the underlying concern(s), gather information and documentation related to the complaint and provide the complainant with a response. Will be a part of the Customer Complaint department and reports directly to the V... 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

- Bankruptcy & Corporate Responsibilities: Receive alerts of new bankruptcy filings, input information on those bankruptcies into the tracker, send the alerts to the applicable distribution lists. Analyze and track responses from business unit and credit teams. Follow up on pending responses or questions on the responses. Build and maintain distribution lists and tracking system. Manage proofs of claims, including monitoring of deadlines. Draft demand letters. Crea... 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

Manager, Regional Compliance Officer The candidate will serve as a Regional Compliance Officer dedicated to a specific region of the broker/dealers footprint and responsible for providing advice and guidance with regard to both securities and investment advisory activities. Will work closely with regional sales supervisory management in assisting them in maintaining compliance with both the rules and regulations of the securities industry in addition to CI firm po... 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 - Derivatives The candidate will work with other members of the legal team as well as counterparts and internal clients across the globe to support our various product lines. Responsible for derivatives related contract work to support the derivatives trading capabilities of the firm. Responsible to track, monitor and guide the business in its strategic response to derivatives regulatory reform. This necessarily requires cross-border collaboration with counterp... 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 The candidate will provide duties include: Assist in conducting acquisition-related due diligence and administering closings. Draft and negotiate commercial contracts. Assist with public company compliance obligations, including securities law filings. Assist with corporate governance matters, including maintenance of corporate records and preparation of materials for board meetings. Manage and/or complete a wide variety of other miscellaneous legal project... 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 - Broker Dealer The candidate will act a primary legal counsel for company's Investment Services (IS), an SEC/FINRA registered broker/dealer and 50-state licensed insurance agency which actively operates in 14 states. Will engage with PWM/IS Leadership and provide timely and accurate legal advice, in addition to practical assistance, to Compliance, Risk Management and Audit teammates. Compressively support IS's response to all new requirements impos... 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, Regulatory Attorney The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with Reg BI and FINRA Rules and their applications... to broker-dealers. Draft and review responses to regulatory examinations. Legal review of disclosure documents, sales and marketing materials. Draft and/or review supervisory procedures and compliance policies and procedures. All other duties as assigned.... 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

Lead Counsel - Broker-Dealer and Investment Advisor Practice Group Duties: Providing legal advice and counsel supporting the needs of the Company’s broker-dealer. Be an integral part of the Company’s distribution law team, which supports 3 broker-dealers and partners with compliance, finance, procurement, information technology, and the business to provide practical, results-oriented legal advice. Providing legal support for FINRA, SEC, and state regulatory... examinations, inq... 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