- City of New York (New York, NY)
- …an attorney with two to five years of experience to serve as an in-house counsel to the City and related entities that issue municipal bonds and facilitate loans ... issuers develop post-issuance compliance policies and procedures in accordance with securities laws. - Tracking, reviewing, researching, analyzing and filing all… more
- JPMorgan Chase (New York, NY)
- …capital markets. As a Public Finance Attorney - Vice President, Assistant General Counsel within JPMorgan's legal department, you will be part of a successful, ... Finance business on all relevant legal and regulatory matters, including relevant securities laws and the SEC's Municipal Advisor Rule, fair access and related… more
- PennyMac (Plano, TX)
- …complete mortgage journey. A Typical Day The Senior Vice President Senior Counsel will provide legal support to Capital Markets, Servicing, and Secondary Marketing ... agreements, derivatives, and investment adviser-related matters. The Senior VP Senior Counsel will : + Review, negotiate, and draft mortgage loan purchase… more
- Arena Investors LP (Jacksonville, FL)
- We are seeking a highly motivated and detail-oriented Junior Associate General Counsel to join our legal team in Jacksonville, FL or hybrid. The team is also open to ... the company's contractual obligations. - Manage and collaborate with external legal counsel . - Support senior legal staff with special projects and other legal… more
- PennyMac (Westlake Village, CA)
- …the complete mortgage journey. A Typical Day The Senior Vice President, Senior Counsel wll provide legal support to Corporate Treasury and Secondary Marketing on a ... repurchase agreements and correspondent lending activity. The Senior Vice President, Senior Counsel will : + Draft and negotiate transaction documents for financing… more
- Neuberger Berman (New York, NY)
- The Associate General Counsel - Private Wealth will play an integral role within Neuberger Berman's Legal & Compliance Department, specifically with respect to the ... management business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA, and serve as the lead attorney and work… more
- Janus Henderson Investors (Denver, CO)
- …S/144 + Negotiation of confidentiality and non-disclosure agreements + Manage external counsel and provide ad hoc legal advice to internal departments on various ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- BlackRock (New York, NY)
- …department of a leading financial services organization. Experience in US federal securities laws, asset management, and US registered funds and related regulatory ... issues are required. The candidate should have exceptional analytical, written and verbal communication, strong inter-personal and relationship-building skills, and must be able to work effectively both independently and as a member of the team, in a… more
- Principal Financial Group (Des Moines, IA)
- …Licensed attorney with JD and 5+ years' experience with knowledge of securities -governed insurance products + Familiar with the laws regulating insurance products ... and their application + Experience in group annuity products supporting retirement business a plus but not required + Prior experience in financial services and/or a federal regulatory agency a plus + Must be admitted to practice in the state employed within… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more