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Finra Jobs in West Des Moines

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United States
Posted On Jun 16, 26
Full-time 12 views Experience : Min 4 yrs required
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Traditional Labor Law (Unions) Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Traditional Labor Law (Unions) Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa

Title: Senior Counsel - AVP, Employment Counseling & Litigation Job Responsibilities: - Lead or participate in moderately complex initiatives and deliverables, contributing to large-scale planning. - Provide legal advice and represent the company in highly complex litigation, negotiations, settlement discussions, and...

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The following jobs are no longer active but were real openings previously posted by employers.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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General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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Note: This job is no longer active.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

Senior Variable Compliance Consultant Duties: Act as Registered Principal for conducting Variable Life and Variable Annuity advertising reviews on behalf of SFG member companies and our affiliated broker/dealer to ensure that the content is accurate, complete and in compliance with the current standards communicated by FINRA, SEC and state insurance... departments regarding communications with the public. Serve as a liaison between SFG member companies and the CCO of the affili... 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

position requires compliance with all mortgage regulatory requirements and 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

Information: Based on experience and qualifications Job Title: Senior Compliance Specialist Experience Information: 4+ years of legal or regulatory compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Responsibilities: Support the company’s enterprise regulatory change management program. Review and summarize domestic and international legisl... 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

Business Execution Consultant **Job Summary:** 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

Business Execution Consultant - Escalation Review Team **Job Overview** 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

Information: The salary for this position is commensurate with experience. Overview: 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 manage a large staff of compliance registration professionals that support approximately 29,000 registered team members. Oversee accurate registration filings with all Federal and State regulators including the SEC, FINRA, State Securities Departments, State... Mortgage Licensing Departments, and the National Futures Association. Responsible for establishing relationships with key partners, both internal and external, to further the awa... 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

Manager The candidate will oversee Registration functions for the three Broker Dealers associated with company Advisors. Reports to the Director of Registration and Employee Activities. Responsibilities include the development and execution of a robust registration compliance program supporting all business lines in Wealth Brokerage and Retirement. Manage a large staff of compliance registration professionals that support approximately 29,000 registered team mem... 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 Specialist The candidate will establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements. Oversee the Front Line's execution and challenges appropriately on compliance related decisions. Provide oversight and monitoring of risk-based compliance programs. Develop and oversee standards. Provide subject matter expertise with comprehensive knowledge of bu... 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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