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Finra Jobs in High Point

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United States
Posted On Aug 26, 26
Full-time Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - 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 - 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: The AVP, Sr. Counsel, Broker-Dealer and Investment Advisor is responsible for providing strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. The role involves: - Partnering with...

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers.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.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

Senior Counsel - Asset Management The candidate will oversee all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Work closely with regulators and internal/external auditors as needed. Provide... 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Note: This job is no longer active.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 Counsel - Asset Management and Investment Advisory Affairs Duties: Will be responsible for overseeing all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company's compliance officers and senior management from advisory services, finance, operations and marketing. Will also work closely with... 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

Senior Counsel Asset Management The candidate will provide legal support and guidance to the firm Managed Account business, IA Compliance program and CCO, including facilitating annual reviews of compliance policies and procedures, compliance testing, year-end reporting, assisting with investment advisory compliance and surveillance processes, and consulting with firm Investment Advisory business partners. Assist the Head of RIA Compliance, the CCO and Chief Counsel in t... 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 - Office Automation, GS 5-7 The candidate will provide responsibilities include: Examining, preparing and processing a variety of technical legal documents, ., complaints, motions, orders, answers, pleadings, subpoenas, and libels. Proofreading and cite checking legal briefs, memoranda, and other legal documents. Providing assistance to attorneys in trial preparation by conducting non-complex research of litigation, statutes, regulations and court cases. A... 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 - Office Automation, GS 5-7 The candidate will provide responsibilities include: Examining, preparing and processing a variety of technical legal documents, ., complaints, motions, orders, answers, pleadings, subpoenas, and libels. Proofreading and cite checking legal briefs, memoranda, and other legal documents. Providing assistance to attorneys in trial preparation by conducting non-complex research of litigation, statutes, regulations and court cases. A... 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

Vice President Senior Counsel The candidate will be responsible for overseeing all aspects of company’s asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Also work closely with regulators and internal/extern... 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 Counsel - Asset Management The candidate will oversee all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Work closely with regulators and internal/external auditors as needed. Provide... 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

more jobs like this Applicants must be eligible to work in the specified location Alternate Locations: Greensboro, NC (North Carolina) Relocation assistance is not available for this opportunity. Requisition #343 About The Company Lincoln Financial Group provides advice and solutions that help empower Americans to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and weal... 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

more jobs like this Applicants must be eligible to work in the specified location Alternate Locations: Greensboro, NC (North Carolina) Relocation assistance is not available for this opportunity. Requisition #343 About The Company Lincoln Financial Group provides advice and solutions that help empower Americans to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and weal... 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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