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Finra Jobs in Spring Valley

5 jobs
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  3. New York
  4. Spring Valley
  5. Finra

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United States
Posted On Sep 10, 26
Full-time 22 views Experience : Min 5 yrs required
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Vice President, Legal and Compliance Division - Capital Markets and Private Markets Job Responsibilities: The Vice President in the Legal and Compliance Division will provide legal coverage for the Capital Markets and Private Markets businesses within the company. The attorney will focus...

Posted On Jul 13, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Capital Markets / Private Markets Attorney Job Responsibilities: - Provide legal coverage for the Capital Markets and Private Markets businesses at the company, with a focus on the Private Securities transactional business. - Work closely with a team of seven capital markets...

Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title: Executive Director Level Attorney Job Responsibilities: The Executive Director Level Attorney will have a highly visible role within the company, focusing on the Alternative Investments and Private Markets platforms. Key responsibilities include: - Advising on the structuring, distribution, marketing,...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title ED, Alternative Investments Attorney Job Responsibilities The Executive Director level attorney at the company will be primarily responsible for advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities...

Posted On Jul 15, 26
Full-time 1 views
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
FINRA Insurance
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
FINRA Insurance

within the realm of FINRA arbitrations representing investors. The... key duties include: - Assisting with drafting requests for documents - Preparing discovery responses - Engaging in motion practice - Facilitating client communication The role requires exceptional organizational skills and a...

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