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Finra Jobs in Meadow Brook

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United States
Posted On Jul 14, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

General Counsel Job Title: Assistant General Counsel Job Responsibilities: The Assistant General Counsel will provide comprehensive legal support to the wealth management, trust, fiduciary, investment advisory, and brokerage businesses within the company. Key responsibilities include: - Offering legal advice on a wide range of matters...

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The following jobs are no longer active but were real openings previously posted by employers.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

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Officer - Day Shift The candidate's responsibilities include: Permit authorized persons to enter property and monitor entrances and exits. Check in all employees and visitors; Verify identification with picture ID for those without badges. Ensure compliance with PPE protocols. Covid-19 temperature check and record maintenance. Ensure completion of required forms, visitor log, etc. Process and identify any metals on person or in belongings. Warn violators of rule inf... 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Note: This job is no longer active.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

Security Officer - Day Shift The candidate's duties include: To maintain security and safety of the facility, personnel, and assets. Maintain awareness of threat potential and mitigation protocol. Sound alarms as required (police and / or fire department). Warn violators of rule infractions. Permit authorized persons to enter property and monitor entrances and exits. Process departing personnel to protect against theft of company property. Watch for, mitigate and repo... 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

Security Officer - Night Shift The candidate's duties include: To maintain security and safety of the facility, personnel, and assets. Maintain awareness of threat potential and mitigation protocol. Sound alarms as required (police and / or fire department). Warn violators of rule infractions. Permit authorized persons to enter property and monitor entrances and exits. Process departing personnel to protect against theft of company property. Watch for, mitigate and re... 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

Officer The candidate ‘will have the opportunity to rotate across various positions including: monitor X-Ray equipment and/ or CCTV, inspect bags, wand outgoing employees and visitors. You will be responsible for the security of the facility and its employees from inside and outside theft and threats of violence. Security Officer Level 1 Responsibilities include: Check in all employees and visitors; Ensure compliance with PPE protocols; Covid-19 temperature check an... 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 Responsibilities: Ensuring each matter is progressing toward a timely resolution. Handling general client communication and responding to status inquiries. Assisting with drafting and filing of claims, motions, objections and civil practice work in connection with adversary proceedings.. Managing court coverage calendar for several attorneys in states of practice. Overseeing and directing legal assistant who will provide clerical assistance. Monitoring 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

Compliance Analyst The candidate will provide high-level assistance with legal and compliance requirements. Will work on synthesizing and documenting changing regulations and assisting with Training and Audits to ensure compliant operations of the Division's legal entities, which include an SEC Registered Investment Adviser, Registered Investment Company, Broker/Dealer and company's Trust and Investment department. Assist with the annual supervisory and compliance 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

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

Capital Markets Associate Candidate will have 3-6 years of experience representing issuers and/or underwriters in capital markets transactions, including initial public offerings, follow-on public offerings, registered direct offerings, ATM offerings, PIPE transactions and/or SPAC offerings. Candidates should have experience listing securities on NASDAQ/NYSE and/or OTCQB/QX; working with the SEC, FINRA and NASDAQ/NYSE, preparing ’33... and /34 Act filings, representing issuers... 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 Analyst Duties: Provide high-level assistance with legal and compliance requirements. Ensure the myriad of changing and existing regulations are met. Work on synthesizing and documenting changing regulations and assisting with Training and Audits to ensure compliant operations of the Division’s legal entities, which include an SEC Registered Investment Adviser (Weston Financial Group, Inc.), Registered Investment Company (New Century Portfolios), Broker... 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

underwriters in capital markets transactions, including initial public offerings, follow-on public offerings, registered direct offerings, ATM offerings, PIPE transactions and/or SPAC offerings. The candidate should have experience listing securities on NASDAQ/NYSE and/or OTCQB/QX; working with the SEC, FINRA, and N... 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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