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General Counsel Broker Dealer Jobs in Los Angeles

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General Counsel Broker Dealer Jobs in Los Angeles - 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,...

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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,...

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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....

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Posted On Oct 01, 26
Full-time 2 views Experience : Min 1 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Administrative Law Government - General
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

investors, ensuring market integrity, and supporting responsible capital formation. In this role, the attorney will: - Participate in and provide technical assistance and support for examination or inspection activities related to broker dealers. - Collaborate as a... team member with other s...

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Posted On Oct 08, 26
Full-time
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

Title: Market Abuse Unit Attorney Job Responsibilities: As a Market Abuse Unit Attorney within the Division of Enforcement, Market Abuse Unit (MAU), you will be tasked with investigating and prosecuting large-scale abusive market practices by institutions, market professionals, and individuals that threaten...

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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...

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Posted On Jul 26, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management

not limited to corporate agreements, commercial contracts, and vendor agreements. - Provide advice and counsel on structuring, drafting, negotiating,... and interpreting contracts and relevant legal and regulatory requirements. - Support third-party matters and provide risk-based and business-minded advice to clients. - Identify a...

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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...

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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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