• SoFi (San Francisco, CA)
    …do: Advise the business on matters pertaining to SoFi's SEC-registered broker ‑dealer and investment advisor, including the development, launch, and maintenance of ... Invest platform. Stay abreast of legislative and regulatory developments affecting broker ‑dealers and investment advisors, and advise on related business impacts.… more
    job goal (01/14/26)
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  • FINRA (Mclean, VA)
    …partner or minor child who lives with the employee) and to authorize their broker ‑dealers to provide FINRA with duplicate statements for all of those accounts. All ... of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining… more
    job goal (01/14/26)
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  • JPMorgan Chase (Chicago, IL)
    …Skills ETF experience and in-house legal experience. Experience advising on broker -dealer issues. Expertise in complex transactions and index management. Strong ... motivator and self-starter. Demonstrated ability to innovate and think strategically. Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of employment… more
    job goal (01/14/26)
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  • TalentBridge (Boston, MA)
    …Act, FINRA) Strong legal writing and analytical skills Experience supporting broker ‑dealers, RIAs, or financial services platforms Transactional or M&A experience is ... a plus Ability to work independently in a high‑volume, deadline‑driven environment Seniority level Mid‑Senior level Employment type Full‑time Job function Legal #J-18808-Ljbffr more
    job goal (01/14/26)
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  • Agnello & Rogers (Chicago, IL)
    …Skills ETF experience and in‑house legal experience. Experience advising on broker ‑dealer issues. Expertise in complex transactions and index management. Strong ... motivator and self‑starter. Demonstrated ability to innovate and think strategically. Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of employment… more
    job goal (01/14/26)
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  • Vaco by Highspring (Fort Mill, SC)
    …and opportunities to impact enterprise-level accounting operations. ROLE OVERVIEW: The Assistant Vice President (AVP), Cash Reconciliation is a senior leadership ... expertise, regulatory knowledge, and people leadership in a fast-paced broker -dealer environment. KEY RESPONSIBILITIES: Cash & Asset Reconciliation Oversight Lead… more
    JobLookup XML (01/13/26)
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  • LPL Financial (San Diego, CA)
    …experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This VP will report to a Senior Vice President ... various business units. This team focuses primarily on the needs of LPL's broker ‑dealer business but also provides support to the investment advisory business as… more
    job goal (01/14/26)
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  • Trustmark (Washington, DC)
    …and communities. Overview of Role Responsible for selling self-funded health products via Broker partners for groups under 200 lives then transitions account to an ... that includes: Health/dental/vision, life insurance, FSA and HSA, 401(k) plan, Employee Assistant Program, Back-up Care for Children, Adults and Elders and many… more
    job goal (01/14/26)
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  • The Massachusetts Housing Partnership (Boston, MA)
    …Engagement & Inclusion, Director of IT, Treasury Manager, and F&A Executive Assistant The Chief Financial and Operating Officer (CFOO) will succeed a long‑tenured, ... relationship of current and potential future space to hybrid office policies, leases, broker relationships, and make recommendations to the ED on lease options. *… more
    job goal (01/14/26)
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  • MHP (Massachusetts Housing Partnership) (Boston, MA)
    …Director of IT, Chief Accountant & Treasury Manager, and F&A Executive Assistant The Chief Financial and Operating Officer (CFOO) will succeed a long-tenured, ... of current and potential future space to hybrid office policies. leases, broker relationships, and make recommendations to the ED on lease options. Manage… more
    job goal (01/14/26)
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