- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical… more
- Huntington National Bank (Chicago, IL)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in… more
- City National Bank (Jersey City, NJ)
- * SENIOR COUNSEL - LEGAL & WEALTH MANGEMENT* WHAT IS THE OPPORTUNITY? Senior Counsel will provide general regulatory and transactional support to the Bank ... to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and...respect to wealth management products and services. * Support senior counsel in advising the Bank's wealth… more
- City National Bank (Los Angeles, CA)
- * SENIOR COUNSEL - AML/FINANCIAL CRIMES* WHAT IS THE OPPORTUNITY? The Senior Counsel - AML/Financial Crimes will provide legal advice to City National Bank, ... legal advice to all three lines of defense (front line, Risk/Compliance, Audit), broker - dealer businesses, and other US-based businesses regarding all aspects of… more
- Vanguard (Malvern, PA)
- …experience with FINRA, SEC, and related regulations, and general knowledge of broker - dealer , retirement, banking and investment advisory businesses. Our "crew" ... and oversight; ensure appropriate policies, procedures and supervisory framework on broad broker - dealer related and market issues. + Monitor, analyze, and… more
- Wells Fargo (Washington, DC)
- …and initiatives; and banking for private wealth clients + Advise on bank and broker dealer regulatory requirements applicable to banking and lending activities + ... this role:** Wells Fargo is seeking an Associate General Counsel , Executive Director in the Legal Department as part...Experience as a practicing attorney with securities-based bank and broker dealer lending products; custom and mortgage… more
- KeyBank (Cleveland, OH)
- …to all areas of Key Wealth, including Key Investment Services (Key's retail broker - dealer and registered investment adviser) and its insurance agency KeyCorp ... Job Functions** The key responsibilities for the Assistant General Counsel , Key Wealth include: + Provides senior ...General Counsel , Key Wealth include: + Provides senior level consultation on complex matters that influence business… more
- Lincoln Financial (Denver, CO)
- …#:** 74772 **The Role at a Glance** The Role at a Glance The AVP, Senior Counsel - Life & Annuities, provides legal support to the Lincoln Financial ... in a timely and proactive manner to internal key senior stakeholders + Act as a "thought leader" who...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more
- JPMorgan Chase (Plano, TX)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... valuable regulatory insight. As Insurance Attorney: Executive Director, Assistant General Counsel within our Wealth Management Legal team, you will provide critical… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We're excited to bring on a Legal Counsel - Group Benefits to support our Group Protection...area(s) of responsibility, assess the impact, and collaborate with senior management to incorporate new trends and developments in… more
- Wells Fargo (New York, NY)
- …1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker - dealer compliance + Experience working with or advising ECM/DCM desks at a ... attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM) and Debt...unprecedented factors + Serve as a trusted advisor to senior business leaders and contribute to strategic decision-making. +… more
- Truist (Charlotte, NC)
- …and interact with all levels of management Preferred Qualifications: 1. Proven Broker / Dealer product knowledge/expertise 2. Eight years of compliance experience, ... and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives...execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and… more
- Lincoln Financial (Radnor, PA)
- …and respond to questions from diverse audiences including investment advisors, outside counsel , field management, senior leadership, and other stakeholders. * ... general corporate law matters; and providing day-to-day advice and counsel on a broad range of securities and governance...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more
- Equitable (Charlotte, NC)
- …or 24 * 7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. * ... requirements and where appropriate strive for constant improvement. * Providing advice and counsel to each EDL business line as a trusted partner that fosters open… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... product approvals, to include negotiations with regulatory authorities, discussions with outside counsel and/or consulting firms + Ensure that top talent is hired,… more