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Finra Jobs in Hockessin

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United States
Posted On Jul 08, 26
Full-time 2 views Experience : 7-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws

brokerage and wealth platform. - Advise on the design, distribution, and oversight of brokerage capabilities and investment products. - Provide legal guidance on regulatory requirements under the Securities Exchange Act, FINRA rules, and other applicable... laws. - Manage complex legal projects and initiativ...

Posted On Aug 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title

Assistant General Counsel, Retail Brokerage Platform Job Responsibilities: The Assistant General Counsel for the Retail Brokerage Platform at the company plays a crucial role in supporting the Personal Wealth business, specifically focusing on the retail brokerage and wealth platform that serves over...

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The following jobs are no longer active but were real openings previously posted by employers.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
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Operations Manager, Compliance Operations Duties: The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared for the firm's Registration Department for filing with FINRA in a timely manner.... Review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that requ... 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 - Personal Account Dealing – Vice President The candidate will assist with policy, procedure and strategic initiatives on the Personal Account Dealing Team within the Global Employee Compliance area. The focus will be on industry regulations and firm wide controls related to insider trading, conflicts of interest, employee disclosure and registration requirements, response to regulatory inquiries, and global consistency of the firm’s policies and proc... 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

Paralegal The candidate will investigate and propose responses to “escalated complaints” and litigation, in partnership with the Company’s Legal and/or Compliance Departments. Will be responsible for thoroughly investigating these matters, and providing a factual narrative with supporting documents to the Legal Department. Also be asked to create draft responses to customers, with guidance from the Legal Department, and to perform root cause analysis and 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

Duties: Will join the structured products execution team. Will be working within a team of paralegals (NY Structured Products Execution Team (SPET)) in the Legal Department and will be handling structured product issuances primarily off various company's structured products issuance programs, such as the SEC shelf registration statement, 3(a)(2) and 4(a)(2) programs, structured CDs, as well as certain standard documentation and processes relating to various derivat... 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

- Structured Products Execution Team The candidate will be working within a team of paralegals (NY Structured Products Execution Team (SPET)) in the Legal Department and will be handling structured product issuances primarily off various Barclays structured products issuance programs, such as the SEC shelf registration statement, 3(a)(2) and 4(a)(2) programs, structured CDs, as well as certain standard documentation and processes relating to various derivatives 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

- Structured Products Execution Team The candidate will be responsible for interacting with various Company personnel, including members of sales, structuring, risk, credit and coverage teams within Legal in connection with day-to-day responsibilities. Will be drafting and assisting in drafting various documents, such as term sheets, disclosure documents, notes, and confirmations. Drafting and assisting with distribution and dealer agreements. Coordinating the fina... 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

Securities Paralegal Duties: The candidate will prepare and file Form IDs with the SEC to obtain EDGAR codes. Prepare and file Form Ds with the SEC and the states. File Form As and Ds with the states, either electronically through EFD or by paper. Coordinate preparation of Form 13F. Perform blue sky research re: state exemptions. Prepare and file state registration and/or exemption documents. Prepare first drafts of response letters to state comment letters. Monito... 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 Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. SVP, Compliance Director - Funds The candidate will be responsible for implementation of the mutual fund compliance program to ensure its regulatory and fiduciary obligations are met. Serve as... 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 Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Operations Manager, Compliance Operations Duties: The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by manag... 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

In-house Mutual Fund Compliance/ 1940 Act Paralegal The candidate should have 3+ years of securities compliance/1940 Act experience at a large law firm, investment company or Hedge Fund. Experience in assisting with 1940 Act filings and FINRA requirements required.... 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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