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United States
Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Compliance Corporate - Securities and Capital Markets Corporate - Contract Law 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 - Compliance Corporate - Securities and Capital Markets Corporate - Contract Law 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: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

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Duties: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client questions on suc... 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Note: This job is no longer active.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

Responsibilities: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with our state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client qu... 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 The candidate will be responsible for primary legal and regulatory matters of the company. Will be exposed to a wide range of responsibilities, including the oversight of corporate transactions, negotiating agreements, and managing outside counsel. Will have the desire to be fully focused on the organizational goals and the development and growth of the legal team. Advise executives, senior leadership, and the board on various matters such as legal rights, 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

Counsel The candidate’s primary duty is to provide legal advice, with direction and supervision as needed, to various teams and functions, and managers of all levels, within the Retail division. The attorney will be responsible for advising Retail business units on relevant legal and regulatory requirements of matters such as brokerage communications, advertising, marketing and promotions; brokerage forms and disclosures; best interest and suitability standards 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

Client Advisor The candidate will advocate affluent, ultra-affluent clients and prospects with complex needs. Will give advice through the integrated delivery of investment management, fiduciary advice, specialized asset management, full service financial planning, business succession planning, and credit and depository services. Will broaden the scope of client relationships through a focused and deep understanding of each individual client’s needs utilizing an open... 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 Officer The candidate will be responsible for ensuring that the services with legal and regulatory requirements, operating policies of the firm and industry best practices. Reviews and drafts firm operating policies, procedures and guidelines. Ensures employee adherence to operating policies, procedures and guidelines. Ensures firm compliance with applicable federal securities laws. Assists in reviewing, drafting and updating compliance manuals on behal... 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 general business advice and counseling work, including: product distribution; agent programs; agent licensing, including securities licensing; broker-dealer and insurance operations; insurance products, including life and retirement products; claims; marketing, policy administration; underwriting/risk management; and regulatory compliance. Litigation / disputes work includes: consumer disputes; inquiries and examinations b... 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

and General Counsel The candidate will be responsible for all legal aspects of parent, subsidiaries, and affiliated companies' activities to assure effective legal relationships with all phases of company business including dealings with regulatory officials and government bodies. Will assure parent, subsidiary, and affiliated company compliance with all applicable federal, state, and local statutes, rules and regulations. Manage, direct, and supervise the overall legal... 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 The candidate will be responsible for key legal and regulatory matters at firm. Will be a crucial member of firm Compliance Committee and will be exposed to a wide range of responsibilities, including overseeing corporate transactions, negotiating agreements, and managing outside counsel. Lead legal aspects of transactions, including negotiating, drafting, and due diligence / risk identification. Draft and negotiate other key agreements (., confidentiali... 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

Candidate will be responsible for the defense of litigation claims, including lawsuits and arbitrations. Handle the defense of a docket of arbitration cases involving claims seeking up to several hundred thousand dollars in damages. Support Outside Counsel and other company's counsel in defending larger lawsuits and arbitrations. Provide legal advice to the Business including Retail, Institutional and Operations regarding potential and asserted claims. Prepare cases... 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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