Finra Jobs in Raleigh

Paralegal The candidate will be assisting attorneys with preparing and filing necessary documents for state blue sky securities' registrations and SEC filings. Will also be responsible for maintaining corporate record books for corporate clients. Should have a Bachelor’s degree and/or Paralegal Certificate. Must have 5 years of finance experience. Experience in a law firm, legal department or professional services organization essential. Proficiency in MS Word, Exc... 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Note: This job is no longer active.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

Legal Assistant Duties: Will conduct conflicts checks in order to evaluate potential conflicts arising in the context of securities offerings; coordinate with and obtain similar information from other departments at company. Compile and incorporate researched conflicts data into FINRA Questionnaires related to various... capital markets transactions. Review, process and approve shelf registration Form 415s and 144As (internal forms for purposes of company's transaction manageme... 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Note: This job is no longer active.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 Notes Attorney The candidate will be documenting structured notes transactions (drafting prospectuses for debt securities/derivatives instruments). Will be preparing filings. Advising the desk on FINRA/SEC rules (33 act, 34... act, CFTC). Should have 2-4 years of experience with capital markets transactions or derivatives transactions or, a recent law school graduate who has worked as a paralegal in these areas. 33 Act or 34 Act experience is a plus. Must be Barred i... 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 / Derivatives Attorney Responsibilities: Will provide legal coverage to Equity Derivatives – Investor Solutions group. Products covered include 3(a)(2), Reg S and SEC-registered structured notes linked to a variety of asset classes, ) exchange traded notes and proprietary indices. Work with traders, marketers, structurers, outside counsel and other stakeholders in connection with the development, structuring, marketing, execution and documentation 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

Legal Counsel Duties: Support the expanding personal investments businesses of Personal and Workplace Investing arm. Support business initiatives, projects and processes designed to serve the needs of retail brokerage and investment advisory. Will be diverse, but are expected to focus on support of financial and investment guidance, advisory and planning programs, across the full spectrum of retail customers through and including private wealth management. Will be w... 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

Surveillance for Compliance Controls Responsibilities: Will involve working with relevant compliance, legal, technology, and business partners to establish priorities and identify solutions. Review and evaluate e-comm messages generated by the e-comm surveillance system and reviewed by the Supervisors, as part of the Quality Control Review process. Periodic review of e-comm messages for any irregularities or discrepancies as an element of the Random Sampling... 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

Management and Investment Funds Attorney Specialist The candidate will support attorneys with the formation and operation of private investment funds, negotiation of side letters on behalf of sponsors and investors, and the marketing of fund interests and separate accounts. Will work with partners and associates on essential matters for sophisticated clients. Should have strong academic credentials. Should preferably have experience representing private fund sponsors 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

Counsel - Crowdfunding The candidate, under the direction of the Assistant General Counsel, Commercial and Marketing, will play an immediate and direct role in the crowdfunding activities, partnering with various internal stakeholders and advising the company on pertinent regulatory requirements and best practices as we consider opportunities for growth. Will oversee and execute on day-to-day work such as drafting issuer offering materials and reviewing complex M&A ag... 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

Management and Investment Funds Attorney Specialist The candidate will support the attorneys with investments in, and the formation and operation of, private investment funds, negotiation of side letters on behalf of sponsors and investors, and the marketing of fund interests and separate accounts. Must have strong academic credentials, excellent communication skills, and a commitment to providing the highest quality client service. Must have experience representing pr... 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