Broker Dealer Attorney Jobs
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Corporate - Securities and Capital Markets Attorney in Minneapolis, MN
Minneapolis, MN
Type: Full Time | Posted Date: Nov 28, 2024
SUMMARY: Keywords Counsel, legal advice, transaction support, broker-dealer, marketing, cash products, retail retirement, advisor service group, disclosure documents, contractual provisions, risk mitigation, Chief Counsel, products, services, operations, training, contracts, industry regulations, outside co...
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Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 06, 2024
SUMMARY: USD Job Title: Senior Counsel - Capital Markets and Broker-Dealer Regulatory Attorney Experience: 8-10 years of experience, with 3-5 years of in-house experience at a broker-dealer or investment bank Salary: $250,000 - $275,000 USD Company: Apollo Capital Solutions (ACS) Location: Ne...
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Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 08, 2024
SUMMARY: Senior Counsel, Capital Markets - Legal Department Minimum 500 words Salary Information: $155,000 - $175,000 annual bonus (final offers may vary based on geography, candidate experience and expertise, bonus, and other factors) Job Title: Senior Counsel, Capital Markets Experience Information: ...
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Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Oct 16, 2024
SUMMARY: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President: - Job Title: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Corporate Title: Vice President - Location: New York, NY - Job ID: R0354979 - Full/Part-Time: Full-time - Reg...
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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Austin, TX
Austin, TX
Type: Full Time | Posted Date: Nov 10, 2024
SUMMARY: - Job title: ERS - Securities/Investment Counsel (00046344) - Organization: Employees Retirement System - Location: Austin, Texas - Department: Legal - Employment status: Regular, full-time - Salary: $10,834.00 - $19,166.66 per month - Experience: 3-5 years in law practice, depending on classi...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: LPL Financial is currently seeking a VP, Associate Counsel to join their Regulatory Enforcement group within the Legal department. This position is available in Fort Mill, SC, Washington, DC, Boston, MA, or San Diego, CA and offers a competitive salary range of $163,700.00 - $272,900.00. The ideal c...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Charlotte, NC
Charlotte, NC
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: Title: VP, Associate Counsel - Regulatory Enforcement Experience: Minimum of 6 years of securities regulatory enforcement experience Salary Range: $163,700 - $272,900 Location: Fort Mill/Charlotte, Boston, San Diego, Washington DC Time Type: Full time Posted On: Posted Today Job Re...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: Job Title: VP, Associate Counsel - Regulatory Enforcement Location: Fort Mill, SC; Washington, DC; Boston, MA; San Diego, CA Time Type: Full-Time Job Requisition ID: R-040581 Salary Range: $163,700.00 - $272,900.00 Overview: LPL Financial is seeking a VP, Associate Counsel to join our Regula...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC
Fort Mill, SC
Type: Full Time | Posted Date: Nov 28, 2024
SUMMARY: Job Title: VP Assistant General Counsel Location: San Diego, Fort Mill/Charlotte Time Type: Full time Salary Range: $180,000-$300,100 per year Overview: LPL Financial, a leader in the financial services industry, is seeking a Vice President, Assistant General Counsel to join their corporate l...
Corporate - Securities and Capital Markets Attorney in Charlotte, NC
Charlotte, NC
Type: Full Time | Posted Date: Nov 28, 2024
SUMMARY: H1 Counsel Position at Ameriprise Financial H2 Join Our Team as a Counsel at Ameriprise Financial Overview Ameriprise Financial is seeking a Counsel to join our General Counsel's Organization (GCO) team. In this role, you will provide legal advice and transaction support to our broker-deale...
Corporate - Securities and Capital Markets Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Nov 28, 2024
SUMMARY: H1: Counsel - Legal Job Opportunity at Leading Financial Services Company H2: Join Our Team as a Counsel and Provide Legal Support for Broker-Dealer Lines of Business Remote Hybrid Position in Minneapolis, Charlotte, New York, or Boston - Apply Today! Are you a legal professional with a JD or...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 28, 2024
SUMMARY: The Counsel position is a full-time, remote hybrid role that offers the opportunity to work from anywhere in the United States. The position will support multiple broker-dealer lines of business, including marketing, cash products, retail retirement, and a phone-based advisor service group. The Coun...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: H1: Mid-Level Securities Associate Opportunity at Top Law Firm H2: Join Ice Miller's Business Practice Group in Chicago, Columbus, Indianapolis or Washington, DC Bold Headline: Seeking Experienced Securities Associate for Top Law Firm in Multiple Locations Job Title: Mid-Level Securities Asso...
Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Mid-Level Securities Associate - Join Ice Miller's Business Practice Group in Multiple Locations! Law Firm Seeking Experienced Associate for Federal and State Securities Law Focus Job Title: Mid-Level Securities Associate Location: Chicago, Columbus, Indianapolis, Washington, D.C. Department: Busi...
Corporate - Securities and Capital Markets Attorney in Indianapolis, IN
Indianapolis, IN
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: SEO Friendly Job Title: Mid-Level Securities Associate at Law Firm in Chicago, Columbus, Indianapolis, or Washington, D.C. H1: Join Our Growing Law Firm as a Mid-Level Securities Associate in Chicago, Columbus, Indianapolis, or Washington, D.C. H2: Opportunity for Advancement and Training in a...
Corporate - Securities and Capital Markets Attorney in Columbus, OH
Columbus, OH
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: or visit our website at www.icemiller.com Summary: Ice Miller, a prestigious law firm, is seeking a Mid-Level Securities Associate to join their Business practice group in Chicago, Columbus, Indianapolis, or Washington, D.C. The ideal candidate will have 2-6 years of law firm experience, a dee...
Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President: - Job Title: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President - Location: New York, NY - Job Type: Full Time - Posted: 13 Days Ago - Job Requisition ID: R034...
Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Investment Banking Counsel - Vice President (M&A and Capital Markets) Overview Deutsche Bank is seeking an experienced Mergers & Acquisitions (M&A) and capital markets attorney to join their Legal Department as a Vice President in New York City. This role will provide legal support and risk ma...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Chief Counsel & Chief Compliance Officer - Legal and Compliance Team at Marsh McLennan - Available in 3 locations: New York, NY; Chicago, IL; Boston, MA - Hybrid role with 3 days in office requirement - Oversee compliance programs for MMA Securities, MMA Asset Management, and MMC Securities - ...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: H1: Chief Counsel & Chief Compliance Officer - Legal & Compliance Role at Global Risk and Strategy Firm H2: Join Our Team at Marsh McLennan: 3 Locations Available - New York, Chicago, and Boston Bold Headline: Seeking Experienced Legal and Compliance Professional for Hybrid Role at Marsh McLen...