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United States
Posted On Jul 20, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Employment Law - Litigation Employer Defense Litigation - Commercial Litigation - eDiscovery General Litigation - Document Review Employment Law - Management (Compliance & Counseling) Employment Law - General Employment Law - Wage and Hour
Job Tags:
criminal ERISA FINRA Immigration Investment Advisers Act of 1940 Litigation Securities Securities Exchange Act of 1934
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Employment Law - Litigation Employer Defense Litigation - Commercial Litigation - eDiscovery General Litigation - Document Review Employment Law - Management (Compliance & Counseling) Employment Law - General Employment Law - Wage and Hour
Job Tags:
criminal ERISA FINRA Immigration Investment Advisers Act of 1940 Litigation Securities Securities Exchange Act of 1934

Title: Paralegal Job Responsibilities: As a paralegal in the company's Legal Department, you will be part of a centralized team supporting Litigation, Regulatory, and Employment attorneys across a broad range of matters, including litigation, arbitration, regulatory inquiries, and employment disputes....

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Counsel and Senior Compliance Officer The candidate will work with firm senior management, Finance, HR, Marketing, registered representatives and other key constituencies to train, promote and ensure a culture that encourages legal, ethical business practices and compliance with applicable laws and regulations. Work cross functionally with firm leadership and the Talent and HR team to develop a communications and education program to inform and educate firm Board of... 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Note: This job is no longer active.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

Attorney The candidate will practice as a member of litigation team. Will be involved with drafting discovery and motions, taking and defending depositions, and arguing motions before federal and state courts. Must have 2+ years’ litigation experience. Strong academic credentials and excellent research, writing and analytical skills are 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

Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment. Prepare detailed work papers to support the results of the testing program. Synthezise the result of the testing program for communication to senio... 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

Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers regarding policies, procedures, and financial advisor activity in a high pressure environment. Prepare detailed work papers to support the results of the testing program. Synthesize the result of the testing program for communication to senior management. Maint... 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

Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment. Prepare detailed work papers to support the results of the testing program. Synthesize the result of the testing program for communication to... 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

Director Duties: Provide Compliance support to FBS registered associates located in Home Office, Regional Centers, Investor Centers, and on-site business partner locations. May focus on business unit advisory support, national projects and program support or a combination of the two. Building top level relationships and appropriately influencing behaviors and attitudes at multiple levels across the Fidelity organization. Providing Compliance, Ethics and Regulato... 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

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 - Part Time Duties: Provide legal support and guidance to the company network 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 company network Investment Advisory business partners. Assist the Head of RIA Compliance, the... 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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