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Securities Jobs in Fort Mill

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United States
Posted On Jul 29, 26
Full-time 4 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

Title: Vice President, Assistant General Counsel Job Responsibilities: - Provide strategic legal advice concerning the onboarding, due diligence, sales, and ongoing controls related to Alternative Investments, Complex Products, and Digital Assets. - Support the broker-dealer business and investment advisory business. - Collaborate with teams...

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Posted On Aug 20, 26
Full-time 4 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including offering legal analysis and advice with respect to applicable rules, regulations, and legal risks related to the brokerage and investment...

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Posted On Aug 19, 26
Full-time 10 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A
Job Tags:
board of directors Commercial Contracts corporate governance due diligence Employment Law family Intellectual Property licensing Litigation M&A NASDAQ Partnership Securities trademarks
Practice Area:
Corporate - M&A
Job Tags:
board of directors Commercial Contracts corporate governance due diligence Employment Law family Intellectual Property licensing Litigation M&A NASDAQ Partnership Securities trademarks

related to corporate governance, securities compliance, and strategic initiatives. -... Lead and execute mergers and acquisitions (M&A) transactions from due diligence through integration, in collaboration with the CEO and CFO. - Provide guidance on SEC reporting obligations, including Forms 10-K, 10-Q, 8-K,...

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Posted On Sep 08, 26
Full-time 8 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Corporate - Compliance Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Corporate - Compliance Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

Title: SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: - Provide day-to-day legal support for the financial services business, including legal analysis and advice on compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities. -...

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Posted On Jul 30, 26
Full-time Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, offering legal analysis and advice concerning compliance with applicable rules, regulations, and legal risks related to the brokerage and investment...

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Posted On Jul 03, 26
Full-time 4 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
Cybersecurity data security Privacy
Practice Area:
Data Privacy - Transactional
Job Tags:
Cybersecurity data security Privacy

Title: Vice President, Cybersecurity Attorney Job Responsibilities: - Advise on legal and regulatory obligations applicable to cybersecurity incidents, including materiality assessments and regulatory notifications. - Serve as the primary legal advisor for incident response, collaborating closely with the Information Security...

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Posted On Aug 20, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

business of a broker-dealer, investment advisor, custodian, and record keeper. This includes regulatory developments from the Department of Labor (DOL), Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC),... the Financial Industry Regulatory Authority (FINRA), and state regulators. -...

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Posted On Aug 20, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Government and Government Relations Government - General
Job Tags:
FINRA health benefits Securities stock options
Practice Area:
Government and Government Relations Government - General
Job Tags:
FINRA health benefits Securities stock options

Title: VP, Assistant General Counsel, Regulatory Exams and Inquiries Job Responsibilities: - Manage regulatory examinations and inquiries from FINRA, the SEC, states, and other SROs and regulators. This includes supporting the company's OCC-regulated affiliate and institutional partners in connection with bank...

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Posted On Sep 07, 26
Full-time 1 views Experience : Min 15 yrs required
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options

Title: Senior Vice President, Chief Privacy Officer Job Responsibilities: Enterprise Privacy Governance: - Lead and enhance the enterprise privacy and data protection program. - Establish and maintain privacy governance frameworks, policies, standards, and procedures in line with regulatory requirements and industry best practices. - Ensure...

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Posted On Sep 02, 26
Full-time 19 views Experience : 3-7 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets mergers Securities securities laws stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets mergers Securities securities laws stock exchange

including public and private securities offerings such as offerings... common stock, warrants, convertible securities, and ATM programs. - Advise... clients on alternative paths to public markets, including reverse mergers, de-SPACs, and direct listings. - Provide expert guidance to issuers, investment banks, and...

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Posted On Aug 26, 26
Full-time 7 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
corporate governance Corporate Law M&A Securities Act of 1933 Securities Exchange Act of 1934 Venture Capital
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
corporate governance Corporate Law M&A Securities Act of 1933 Securities Exchange Act of 1934 Venture Capital

position will be on SEC reporting obligations, requiring the attorney to advise clients on matters related to the Securities Act of 1933 and... the Securities Exchange Act of 1934.... The role may also involve handling corporate governance issues, mergers a...

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Posted On Aug 20, 26
Full-time 7 views Experience : 2-6 yrs required
Practice Area:
Corporate - Securities and Capital Markets Finance - Structured Finance Finance - General Corporate - General
Job Tags:
bank lending Capital Markets employee benefits Insurance lending Securities securitization structured finance
Practice Area:
Corporate - Securities and Capital Markets Finance - Structured Finance Finance - General Corporate - General
Job Tags:
bank lending Capital Markets employee benefits Insurance lending Securities securitization structured finance

Job Title: Capital Markets, Securities & Public Company Advisory... - CLO/ABL/Structured Finance Junior to Mid-Level Associate Job Responsibilities: The primary responsibilities for the Capital Markets, Securities & Public Company Advisory... - CLO/ABL/Structured Finance include: - Engaging in private securities offerings and/or securitization. - Participating......

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Posted On Aug 20, 26
Full-time 5 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets employee benefits finance Insurance Securities securitization structured finance
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets employee benefits finance Insurance Securities securitization structured finance

Job Title: Capital Markets, Securities & Public Company Advisory... - Securitization/Structured Finance, Mid-Level to Senior Associate Job Responsibilities: The Securities & Public Company Advisory... department is seeking a mid-level to senior associate to join their team. The primary responsibilities of this...

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Posted On Jul 12, 26
Full-time 3 views Experience : 5-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage

Senior Corporate Counsel - Securities Capital Markets Job Responsibilities... public and private debt securities issuances, including investment grade... and high yield debt. - Review, draft, and negotiate transaction documentation on a wide variety of capital markets transactions, such as public...

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Posted On Sep 11, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
corporate governance due diligence Intellectual Property International Law M&A private equity Securities securities laws social security
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
corporate governance due diligence Intellectual Property International Law M&A private equity Securities securities laws social security

Title: Mid Level Associate - Corporate M&A Job Responsibilities: - Support M&A and private equity transactions: The associate will be required to assist in a wide variety of M&A deals, providing support to senior associates and partners in executing these transactions. - Drafting...

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Posted On Aug 26, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action agreements banking board of directors Capital Markets corporate governance credit facilities criminal directors employee benefits equity finance ISDA Letters of Credit regulatory compliance SEC filings Securities securities laws shareholders stock exchange Surety Bonds Visa Women
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action agreements banking board of directors Capital Markets corporate governance credit facilities criminal directors employee benefits equity finance ISDA Letters of Credit regulatory compliance SEC filings Securities securities laws shareholders stock exchange Surety Bonds Visa Women

broad range of corporate, securities, governance, finance, disclosure, and... compliance matters for a publicly traded company. This position requires close collaboration with executive leadership, finance, investor relations, treasury, human resources, internal audit, tax, compliance, and other business teams to ens...

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Posted On Aug 27, 26
Full-time 6 views Experience : 2-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - General

a Capital Markets and Securities Associate with over three... years of experience to join their Capital Markets Practice Group in Charlotte, NC. candidates passionate about sophisticated securities and corporate transactional work,... institutional investors on complex securities and corporate and......

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