- S&P Global (New York, NY)
- …executive compensation, and benefits counsels. **Responsibilities and Impact:** The Associate General Counsel - Securities and Corporate Finance is ... key role in the Company's governance and disclosure process. The Associate General Counsel - Securities and Corporate Finance will work in a dynamic,… more
- TD Bank (New York, NY)
- …have strong leadership and organizational skills. **Depth & Scope:** + Manages other Senior Counsel , Counsel , Associate Counsel and/or paralegal staff, ... matters to join our dynamic legal team at TD Securities USA LLC. As a senior attorney specializing in...legal services of the Company + Works closely with General Counsel , department attorneys and external legal… more
- DLA Piper (New York, NY)
- …see what we can achieve. Together. **Summary** DLA Piper is seeking a securities lawyer with 6+ years of experience managing structured securities offerings ... are applying **Experience** + Minimum 6 years of experience managing structured securities offerings. + Direct and applicable AmLaw 100 law firm experience… more
- Meta (New York, NY)
- …highly motivated attorney to serve as Director and Associate General Counsel on the Litigation team focused on securities matters. The position will be ... responsible for managing Meta's securities litigation and dispute matters in the United States....in an exciting, fast-paced environment. **Required Skills:** Director & Associate General Counsel , Litigation Responsibilities:… more
- Neuberger Berman (New York, NY)
- **Summary:** The Associate General Counsel - Private Wealth will play an integral role within Neuberger Berman's Legal & Compliance Department, specifically ... 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
- Neuberger Berman (New York, NY)
- …within the Legal and Compliance Department, including the global head of compliance, general counsel , head of money laundering prevention and senior management ... + Strong knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company...inspection by the SEC or FINRA, and responding to general regulatory requests or inquiries + ETFs, Alternatives and… more
- SMBC (New York, NY)
- … will work within the Legal Department and report to the Managing Director, Associate General Counsel . **Role Objectives** + Provide US bank regulatory ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Morgan Stanley (Purchase, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1...Specialist is required to be licensed: Series 7, 63. * GENERAL FUNCTIONS INCLUDE:* * Central point of contact to… more