Legal Brokers Jobs Jobs in Fort Mill, SC

Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Corporate - Compliance Attorney / Corporate - Asset/Investment Management Attorney / Finance - General Attorney / Corporate - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Sep 08, 26

Full-time 8 views Experience : Min 10 yrs required

Practice Area:

Finance - Financial Services Regulation Fintech & Blockchain Corporate - Compliance Corporate - Asset/Investment Management Finance - General Corporate - General

Job Tags:

civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

Title: SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: - Provide day-to-day legal support for the financial services business, including legal analysis and advice on compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities. -...

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Data Privacy - Transactional Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Jul 03, 26

Full-time 4 views Experience : 8-12 yrs required

Practice Area:

Data Privacy - Transactional

Job Tags:

Cybersecurity data security Privacy

Title: Vice President, Cybersecurity Attorney Job Responsibilities: - Advise on legal and regulatory obligations applicable to cybersecurity incidents, including materiality assessments and regulatory notifications. - Serve as the primary legal advisor for incident response, collaborating closely with the Information Security...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Jul 29, 26

Full-time 4 views Experience : Min 6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

Title: Vice President, Assistant General Counsel Job Responsibilities: - Provide strategic legal advice concerning the onboarding, due diligence, sales, and ongoing controls related to Alternative Investments, Complex Products, and Digital Assets. - Support the broker-dealer business and investment advisory business. - Collaborate with teams...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Jul 30, 26

Full-time Experience : Min 6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, offering legal analysis and advice concerning compliance with applicable rules, regulations, and legal risks related to the brokerage and investment...

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ERISA/Executive Compensation Transactions & Compliance Attorney / ERISA - General Attorney / Finance - Financial Services Regulation Attorney / Finance - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Aug 20, 26

Full-time 1 views Experience : Min 8 yrs required

Practice Area:

ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General

Job Tags:

agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

Title: Vice President, Assistant General Counsel - Retirement Job Responsibilities: - Advise on the impacts of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor, custodian, and record keeper. This includes regulatory developments from the Department of...

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Government and Government Relations Attorney / Government - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Aug 20, 26

Full-time 2 views Experience : Min 6 yrs required

Practice Area:

Government and Government Relations Government - General

Job Tags:

FINRA health benefits Securities stock options

Title: VP, Assistant General Counsel, Regulatory Exams and Inquiries Job Responsibilities: - Manage regulatory examinations and inquiries from FINRA, the SEC, states, and other SROs and regulators. This includes supporting the company's OCC-regulated affiliate and institutional partners in connection with bank...

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Corporate - Asset/Investment Management Attorney / Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Aug 20, 26

Full-time 4 views Experience : 5-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including offering legal analysis and advice with respect to applicable rules, regulations, and legal risks related to the brokerage and investment...

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Attorney in Fort Mill, SC

In-House • **Members Only** Fort Mill, SC

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Posted On Sep 07, 26

Full-time 1 views Experience : Min 15 yrs required

Job Tags:

artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options

Title: Senior Vice President, Chief Privacy Officer Job Responsibilities: Enterprise Privacy Governance: - Lead and enhance the enterprise privacy and data protection program. - Establish and maintain privacy governance frameworks, policies, standards, and procedures in line with regulatory requirements and industry best practices. - Ensure...

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Corporate - Compliance Attorney / Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Corporate - General Attorney / Finance - General Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Sep 08, 26

Full-time 14 views Experience : Min 10 yrs required

Practice Area:

Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General

Job Tags:

civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

Title: SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, offering legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and...

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Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney / Finance - Financial Services Regulation Attorney / Finance - General Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Aug 26, 26

Full-time Experience : 10-10 yrs required

Practice Area:

Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Finance - Financial Services Regulation Finance - 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 closely with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations,...

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Insurance Coverage Attorney / Insurance Defense - General Attorney / Insurance - Regulatory & Compliance Attorney / Personal Injury Defense Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Aug 17, 26

Full-time

Practice Area:

Insurance Coverage Insurance Defense - General Insurance - Regulatory & Compliance Personal Injury Defense

Job Tags:

children Disability Benefits Insurance professional liability spouse

Title: Sr. Claims Counsel, Miscellaneous Professional Lines Job Responsibilities: - Handle complex Professional Liability claims. - Provide coverage, liability, and damages analysis for complex professional liability claims. - Proactively identify exposures and claim trends that may affect the portfolio and provide written assessments to...

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Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Sep 10, 26

Full-time 8 views Experience : Min 3 yrs required

Job Tags:

agreements company policies criminal export control family Government H-1B Insurance Taxation Visa

Title: Senior Associate, Trade & Customs - Export Job Responsibilities: - Meet with and provide advice to clients across various industries on export compliance matters. - Lead and manage client projects, including export classifications, audits, reviews, program development, and training. - Support market development...

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Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Aug 25, 26

Full-time 3 views Experience : Min 2 yrs required

Job Tags:

brokers Code of Conduct family finance H-1B international trade Transfer Pricing US Customs and Border Protection

Title: Customs & International Trade Tax - Senior Associate Job Responsibilities: - Lead and contribute to technology-enabled customs and trade advisory projects - Utilize digitization and automation to enhance efficiencies - Analyze intricate problems and develop solutions - Mentor and...

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Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Aug 25, 26

Full-time 3 views Experience : Min 4 yrs required

Job Tags:

agreements Code of Conduct family finance H-1B international trade US Customs and Border Protection

Title Customs & International Trade Tax Manager Job Responsibilities - Manage client service accounts and lead engagement workstreams, ensuring the successful planning, budgeting, execution, and completion of projects. - Develop, mentor, and supervise team members to deliver top-notch results, fostering...

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Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Sep 11, 26

Full-time 4 views Experience : Min 5 yrs required

Job Tags:

brokers criminal Customs Law export control global trade Government Immigration international trade Software Transfer Pricing

Title: Tax Senior Consultant - SAP Global Trade** **Job Responsibilities:** As a Senior Consultant within the SAP Global Trade group, your responsibilities will include: - Conducting assessments of existing information systems and identifying gaps between business requirements and current process/system capabilities during workshops...

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Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Aug 20, 26

Full-time 4 views Experience : Min 6 yrs required

Job Tags:

Affirmative Action asset management banking Capital Markets construction family Financial Institutions general liability Insurance Litigation pension spectrum

Title: Financial Services Business Consulting, Insurance - Property & Casualty Senior Job Responsibilities: - Participate in engagement teams focusing on complex property & casualty management issues. - Develop and implement AI-enabled and digital strategies to enhance claim program performance. - Analyze historical data to...

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Finance - Banking Attorney / Fintech & Blockchain Attorney / Corporate - Compliance Attorney / Finance - General Attorney / Corporate - General Attorney in Charlotte, NC

In-House • **Members Only** Charlotte, NC

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Posted On Jun 19, 26

Full-time 17 views Experience : Min 7 yrs required

Practice Area:

Finance - Banking Fintech & Blockchain Corporate - Compliance Finance - General Corporate - General

Job Tags:

alcohol banking Broker Dealer children Corporation Disability Benefits family health benefits Insurance investment management regulatory compliance Visa

Title: Assistant General Counsel, Executive Director: Wealth Banking, Cash Management & Digital Assets Job Responsibilities: The Assistant General Counsel, Executive Director will serve as a senior legal advisor within the Wealth & Investment Management Division of the Legal Department at the...

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Real Estate Attorney

Recruiter • **Members Only** Charlotte, NC

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Posted On Jul 29, 26

Full-time 20 views Experience : 1-8 yrs required

Practice Area:

Real Estate - Purchase and Sale (Residential) Real Estate - Purchase and Sale (Commercial) Real Estate - General

OverviewA law firm seeks a Real Estate Attorney to join its team in Charlotte, NC. The successful candidate will manage all aspects of real estate closings, from title search and review to closing ceremonies, funding, and , review, and comment...

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