Securities Counsel Jobs

Assistant General Counsel - Investment Company The candidate will responsible for supporting all aspects of legal and regulatory matters relating to the firm’s retail and annuity–dedicated funds. In particular, this individual ..

Swap Dealer Compliance Officer The candidate will manage swap dealer compliance program including assessing and updating policies and procedures, guiding training and education process and on-going regulatory interactions. Providing real time ..

Corporate Counsel (Investments) The candidate will work ... taxable fixed income, and municipal securities. Work will include bankruptcies, out-of-court ... and purchases and sales of securities of distressed companies. Be..

Senior Counsel, Regulatory Attorney The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. ..

Description The Senior Counsel provides a full range of legal advice and services. The Senior Counsel works on problems of diverse scope and complexity ranging from moderate to substantial. Responsibilities The ..

Staff Attorney Duties: Coordinate with internal stakeholders to identify and advise on legal risks and contractual issues and in the interpretation of contracts and other and implement best practices. Draft and ..