Regulatory Broker Dealer Securities Attorney Jobs
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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...
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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 in Boston, MA
Boston, MA
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: H1: AVP, Associate General Counsel - LPL Financial H2: Join a Dynamic Team at LPL Financial Summary: - LPL Financial is seeking an Assistant Vice President, Associate General Counsel to join their Early Dispute Resolution group. - The role will involve responding to investor complaints, regula...
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 in Austin, TX
Austin, TX
Type: Full Time | Posted Date: Dec 04, 2024
SUMMARY: Dimensional is seeking a Counsel, Marketing Review to join our Legal division in Austin, Texas. This role will be responsible for providing legal support for Dimensional's global sales, client servicing, and marketing activities. The ideal candidate will have experience in investment management and ...
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 - General Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Vice President, Corporate Financing Department - Salary Information Salary Range: $175,600 - $345,700 Job Title: Vice President, Corporate Financing Experience: Minimum of 10 years in the securities industry with experience in FINRA's Corporate Financing Rules Organization: FINRA (Financ...
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...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: - Job Title: VP Assistant General Counsel - Experience: 5-7 years - Location: San Diego, Fort Mill/Charlotte - Time Type: Full Time - Job Requisition ID: R-041008 Responsibilities: - Provide legal support for LPL Financial's financial services business - Review, revise, and develop internal...
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Charlotte, NC
Charlotte, NC
Type: Full Time | Posted Date: Nov 25, 2024
SUMMARY: LPL Financial is looking for a VP Assistant General Counsel to join their corporate legal advice team in either San Diego or Fort Mill/Charlotte. This role will report to a Senior Vice President and provide strategic legal advice to various business units, primarily focusing on the broker-dealer and...
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...
Corporate - Venture Capital/Emerging Companies Attorney in Scottsdale, AZ
Scottsdale, AZ
Type: Full Time | Posted Date: Oct 08, 2024
SUMMARY: Nationwide offers a full range of benefits, including: Medical, Dental, Vision, Life Insurance Paid Time Off 401(k) Retirement Plan Pension Plan Business Casual Dress On-site Fitness Center (depending on location) Flexible Work Options Educational Reimbursement Program Adoption A...
Legal Staff Paralegal in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) D...