Regulatory Broker Dealer Securities Attorney Jobs
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Corporate - Asset/Investment Management Attorney in Tampa, FL
Tampa, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: The Lead Counsel I - Investment Management (Hybrid) position at Citi is a full-time, remote role based in Tampa, Florida. The successful candidate will have 2-5 years of relevant industry experience, preferably in financial services, and a Juris Doctorate or equivalent law degree. This role will rep...
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Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Oct 23, 2024
SUMMARY: Regulatory and Securities Attorney Jacko Law Group, P.C., a corporate, regulatory and securities law firm, is seeking an experienced (5 years) Regulatory and Securities Attorney to advise clients on SEC regulatory and securities issues and to provide counsel on unique and complex legal issue...
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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 21, 2024
SUMMARY: H1: Vice President, Assistant General Counsel - LPL Financial H2: Join Our Team: Are You a Solution-Oriented Attorney? Bold Headline: LPL Financial Seeks Experienced Attorney for Vice President, Assistant General Counsel Role Are you a team player with a curious mind and a passion for solvi...
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Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Job Title: Chief Counsel & Chief Compliance Officer Locations: New York, NY; Chicago, IL; Boston, MA Salary Range: $138,700 - $277,300 Responsibilities: - Serve as the trusted adviser for Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities ...
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Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: SEO Friendly Job Title: Chief Counsel and Chief Compliance Officer at Marsh McLennan H1 Heading: Join Our Team as Chief Counsel & Chief Compliance Officer at Marsh McLennan H2 Heading: Lead Legal and Compliance for Marsh McLennan in 3 Locations Bold Headlines: - Hybrid role with flexibil...
Corporate - Securities and Capital Markets Attorney in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: SEO Friendly Job Title: Chief Counsel & Chief Compliance Officer - Legal & Compliance Leader at Marsh McLennan H1 Heading: Join Our Team as Chief Counsel & Chief Compliance Officer at Marsh McLennan H2 Heading: Lead Legal & Compliance Programs for Marsh McLennan in 3 Locations Bold Headline...
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...
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...
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 - General Attorney / Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Keywords: Deputy Chief Counsel, Division of Registration and Inspections, mission-driven, investor protection, audit standards, inspection, enforcement, ethical, professional conduct, compensation, hybrid work, paid time off, health benefits, family resources, commuter benefits, legal, Sarbanes-Oxle...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Irvine, CA
Irvine, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Requirements Background Investigation All PCAOB employees are required to be trustworthy and of high integrity. The PCAOB conducts a background investigation on all prospective and employees. Not ready to apply? Join our Talent Network to stay informed about PCAOB job opportunities and e...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Tampa, FL
Tampa, FL
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: The PCAOB is a registered trademark of the Public Company Accounting Oversight Board. The PCAOB logo and slogan are trademarks of the PCAOB. Deputy Chief Counsel, Division of Registration and Inspections - Competitive Salary, Generous Benefits, and Work-Life Flexibility H1: Join the PCAOB as a De...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Department: Division of Registration and Inspections Job Title: Deputy Chief Counsel Experience: Minimum of 15 years of recent experience with a law firm, government agency, corporation, or regulatory body (or combination). Salary:...
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Summary: Law Firm: Cole-Frieman & Mallon LLP Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federa...
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Corporate and Securities Associate Position at Prestigious Law Firm in San Francisco, New York, or Denver H1: Join Our Team as a Corporate and Securities Associate at a Top Law Firm in San Francisco, New York, or Denver H2: Exciting Opportunity for Experienced Corporate and Securities Associat...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Deputy Chief Counsel, Division of Registration and Inspections: Salary Information, Job Title, and Experience Information Salary Information: - Compensation ranges from $242,000 - $399,100 per year, based on market analysis - Immediate vesting and contributions matched dollar for dollar, up to 7% o...
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 Purchase, NY
Purchase, NY
Type: Full Time | Posted Date: Oct 29, 2024
SUMMARY: Other roles may be eligible for additional compensation as part of their total compensation package. Summary: - Job title: Wealth Management Capital Markets Attorney VP/ED - Job number: 3260921 - Posting date: Oct 25, 2024 - Primary location: New York-Purchase - Education level: Doctorat...