Finra Jobs in Mequon

Compliance Manager III The candidate will report directly to the Chief Compliance Officer of Funds Distributor and will actively lead a team of compliance professionals primarily responsible for the development, implementation, monitoring and documentation of oversight programs mandated by the Securities Exchange Commission and FINRA. Will also represent risk... and compliance in various partnership efforts including strategic business initiatives, cross functional policy effor... 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Note: This job is no longer active.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 Manager III The candidate will report directly to the Chief Compliance Officer of company and actively lead a team of compliance professionals primarily responsible for the development, implementation, monitoring and documentation of oversight programs mandated by the Securities Exchange Commission and FINRA. Will also represent risk... and compliance in various partnership efforts including strategic business initiatives, cross functional policy efforts, 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Note: This job is no longer active.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

of Institutional Asset Management Compliance (Compliance Senior Director) The candidate will be accountable for establishing and overseeing execution of the enterprise-wide compliance program across all functional areas and platforms relating to the institutional asset management business for 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Note: This job is no longer active.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 be responsible for the competent, ethical, and diligent representation of clients in all cases assigned by supervisor. Cases can involve all areas of tort practice. Responsible for handling matters of moderate to great complexity and/or exposure, and may assist in the handling of cases assigned to other attorneys. Handles cases with unique legal or procedural issues involving moderate to severe injuries and/or damages, including preparation... 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

Driving / Criminal Defense Attorney The candidate must have excellent negotiation and writing skills with experience in litigation. Prior jury trial experience is preferred.... 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 The candidate will be responsible for aspects of the judgment processes for one or more states practices law in. Duties specific to Judgments I: Issue and enter judgments; this involves data entry of client information specific to individual states into the collection software system. Research websites or make phone calls to courts to follow up on status of cases. Work cross-functionally with Process Team/Suit Team to investigate errors. Issue satisfacti... 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

2 The candidate will handle varied aspects of legal maintenance of mutual funds and/or exchange-traded funds, such as preparation of initial and amended registration statements, proxy statements, prospectus supplements and other mutual fund/ETF SEC submissions; gather, prepare documentation for, and record minutes for fund Board meetings; and maintenance of fund records for assigned funds. Will involve working directly with internal counsel, external fund counsel,... 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

Act Paralegal 2 Duties: Work with client mutual funds registered under the Investment Company Act of 1940 have direct interaction with multiple clients on a daily basis. Preparation of registration statements and/or other regulatory filings required under the 1940 Act, Securities Act of 1933 and Securities Exchange Act of 1934; preparation of drafts of regulatory documents for various mutual funds, exchange traded funds and closed-end funds for filing with the . Secu... 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

II The candidate will assist on preparation of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and proxy statements on Schedule 14A or Form N-14, using a content management system. Will coordination with internal colleagues and external clients to incorporate their changes to large and complex documents. Working with GFS Regulatory Administration attorneys to plan and prepare for client board and shareholde... 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 should have 2-3 years experience as a paralegal or a document review background. Must have experience reviewing policies and procedures. Must have intermediate or advanced knowledge of MS Office. Preferred candidates will have finance/banking experience. Preferred candidates will have knowledge of the foreclosures process. Should have Bachelor's degree required preferably specializing within Business or Law. This is a temporary assignment e... 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