- 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
- US Bank (New York, NY)
- … supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in particular ... as Risk, Compliance and Regulatory Services + Work with senior leadership within the business line and advises on...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… 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
- 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
- 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
- First Horizon Bank (Memphis, TN)
- …Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker - dealer and a bank dealer and offer general support to ... Bachelor's Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit + Series… more