Legal jobs

Senior Compliance Analyst - Research Clearance and Control Group The candidate will review investment research authored by company's equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable US and foreign securities laws, including, where appropriate,... suggesting edits to the research so it can be approved. The research to be reviewed includes fixed income and equity call notes, reports and marketing handouts on... 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Note: This job is no longer active.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 Officer - Research Clearance and Control Group The candidate will review investment research authored by company's equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable US and foreign securities laws, including, where appropriate,... suggesting edits to the research so it can be approved. The research to be reviewed includes fixed income and equity call notes, reports and marketing handouts on securi... 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Note: This job is no longer active.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

Assistant General Counsel- Municipal Securities The candidate will provide... transactional and regulatory advice and documentary assistance to bankers, traders and salespeople in the bank’s Municipal Securities Division (MSD). Provide advice... on matters arising from municipal securities offerings, secondary market trading... of municipal securities, reinvest products, derivatives, tender... option bond programs and loans. Will be expected to be familiar with, or learn, applicable p... 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 Officer The candidate will have strong working knowledge of fixed income products, securities, and derivatives. Primary responsibilities... include providing day-to-day Compliance advice relating to Government bond auctions, trading, suitability, new products, sales practices and guidance on fixed income regulatory rules/laws. Will provide guidance on rules and regulations relating to trading, sales practices, information barriers, trade reporting, and Dodd-Fr... 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

Director - Control Group Research Clearance Advisory Manager The candidate will have primary focus on the Research business and have management responsibilities for a four-person team that is responsible for clearing Research products, gatekeeping interactions between banking and research, and approving public appearance requests. Engage with legal and compliance colleagues in Bank's US and overseas offices, investment bankers and outside counsel to identify, eval... 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 Officer - Markets Regulatory Implementation The candidate will report to the Compliance Director, Markets Regulatory Implementation. Will primarily work with the Director to identify, develop and implement policies and procedures, processes, and controls pursuant to new laws, regulations, rules, and interpretations... or guidance issued by US market regulators including the SEC and CFTC; FINRA, NFA, and other SROs; and international regulators as applicable. Will als... 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 Officer - Equities The candidate will serve as an Equity Compliance Officer within company's Institutional Client Group (ICG), supporting Sales and Trading and general operations in Exchange Traded Derivatives (ETD), Futures, Cleared OTC, SEFs, FCM Financial Requirements, LSOC, and DCO Operations. Primary responsibilities include providing day-to-day Compliance advice relating to trading, sales practices, operations, financial requirements, position limits,... 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- Credit Trading The candidate will provide transactional and regulatory advice and documentary assistance to traders and salespeople primarily in bank’s Credit Trading business including credit and emerging market derivatives, credit linked notes and total rate of return Swaps and other OTC Swaps (credit and emerging market) and to a lesser extent other trading desks. The attorney will support the trading, structuring and sales desks for there 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

Senior Compliance Analyst- Control Group (Research) Duties: Focus of the position is to review investment research authored by equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable . and foreign securities laws, including, where appropriate,... suggesting edits to the research so it can be approved. Reviewed includes fixed income and equity call notes, reports and marketing handouts on securities, industri... 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 support developing distribution channels for life, health and annuity products, as well as support the products and services of broker-dealer and registered investment adviser. Will provide well-reasoned, concise counsel on current, proposed or anticipated business activities, while balancing business oriented goals with legal risk. Provide advice on legal issues to various levels of staff and management at Financial (fixed and variable insu... 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