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United States
Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - 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 - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - 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...

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The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

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Responsibilities: Will join the regulatory and trading team of the legal group.​ Will report to the Head of the Regulatory and Trading Legal Team.​ Will be primarily responsible for advising company on regulatory issues related to company's status as a registered investment adviser with the Securities and Exchange Commission, advising the business on client arrangements and advising on other general matters related to the functioning of a registered investment ad... 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Note: This job is no longer active.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

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

Compliance Consultant - Regulatory Compliance The candidate will coordinate examinations and inquiries from regulators such as state departments of insurance, state departments of securities, FINRA and the SEC. Will... advocate for the interests of the Company, negotiating reasonable due dates/turnaround times and the scope of regulator requests, which will enable the Company to successfully meet all deadlines set by regulators and maintain an industry-leading reputation. Provi... 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

Consultant Duties: Will be working with guidance, perform basic to moderate compliance analysis, monitoring, and reporting within the company. May be responsible for one or more of the following specialties: advertising review, agency inspections, regulatory inquires audits and reviews, investigations, compliance risks associated with business technology, operations compliance, and ethics programs. May modify procedures or processes and undertake fact gathering an... 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 (Distribution) Duties: Providing legal support to core retail business areas. Advising on regulatory and compliance matters impacting regulated entities and CAS. Negotiating agreements. Advising on retail investment advisory and broker-dealer product development. Providing corporate governance support to other stand-alone businesses. Providing key legal support to distribution, marketing and e-commerce initiatives. Developing and delivering formal training. D... 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 (Distribution) Duties: Providing legal support to core retail business areas. Advising on regulatory and compliance matters impacting regulated entities and CAS; Negotiating agreements; Advising on retail investment advisory and broker-dealer product development; Providing corporate governance support businesses; Providing key legal support to distribution, marketing and e-commerce initiatives; Developing and delivering formal training; Developing and maintai... 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

The candidate will be primarily responsible for advising firm on regulatory issues related to firm’s status as a registered investment adviser with the Securities and Exchange Commission. Will be advising the business on client arrangements and advising on other general matters related to the functioning of a registered investment adviser. Report to the Head of the Regulatory and Trading Legal Team. Provide legal advice on regulatory issues related to firm’s stat... 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

The candidate reviews file material to prepare discovery responses. Updates file with summaries and/or relevant information. Prepares standard pleadings including motions and settlement documents. Assists attorney in trial preparation procedures. Other duties may vary according to court/state jurisdictions.... 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

Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment. Prepare detailed work papers to support the results of the testing program. Synthezise the result of the testing program for communication to senio... 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

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