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Los Angeles General Counsel Broker Dealer Jobs in Law Firm

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Los Angeles General Counsel Broker Dealer Jobs in Law Firm - Related Job Titles

Corporate Securities Counsel
United States
Posted On Sep 07, 26
Full-time 59 views Experience : 2-6 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate transactions Financial Institutions health insurance hedge funds high yield initial public offerings Insurance private equity REITs Rule 144A Securities trusts underwriters Venture Capital
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate transactions Financial Institutions health insurance hedge funds high yield initial public offerings Insurance private equity REITs Rule 144A Securities trusts underwriters Venture Capital

Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will join the Corporate Practice at a law firm and will be responsible for handling significant corporate transactions with a focus on Capital Markets. Responsibilities include working on . and cross-border transactions,...

Posted On Oct 06, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

state Blue Sky laws, broker-dealer regulations, and related compliance... matters. - Support securities offerings, private company financings, investment funds, capital markets transactions, or other securities matters. - Demonstrate strong working knowledge of Regulation D, Section 4(a)(2), Rule 701, Regulation A, Rule 144,...

Posted On Oct 07, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

focusing on Blue Sky laws. The responsibilities include: - Advising on federal securities law exemptions and state Blue Sky laws. - Providing guidance on broker-dealer regulations and related compliance... matters. - Supporting securities offerings, private company financings, investment funds, and capital markets transactions....

Posted On Sep 14, 26
Full-time 15 views Experience : 3-7 yrs required
Practice Area:
Finance - General Finance - Financial Services Regulation Fintech & Blockchain
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws
Practice Area:
Finance - General Finance - Financial Services Regulation Fintech & Blockchain
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws

diverse range of clients including financial services firms, asset managers, and investment funds. - The role involves providing legal counsel on a wide array... of fund structures and regulatory matters. - Key responsibilities include handling cross-border registration, regulatory examinations and enforcement, broke...

Posted On Oct 06, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

laws. - Provide guidance on broker-dealer regulations and related compliance... matters. - Support securities offerings, private company financings, investment funds, capital markets transactions, and other securities-related matters. - Possess a strong working knowledge of Regulation D, Section 4(a)(2), Rule 701, Regulation A, Rule...

Posted On Oct 07, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

Blue Sky laws, and broker-dealer regulations. - Ensure compliance with... securities offerings, private company financings, investment funds, and capital markets transactions. - Support various securities matters, leveraging a strong understanding of Regulation D, Section 4(a)(2), Rule 701, Regulation A, Rule 144, an...

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