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Full-service Regional Brokerage and Investment Banking Firm jobs

Viewing 1 - 10 of 72 jobs

  • Financial Attorney with 1-4 years of corporate/bank experience

    BCG Attorney Search - Chicago, IL

    and litigation), M&A, finance/commercial lending and investment services (mutual fund, etc.) practices in the ... banks and other financial institutions, securities brokers and dealers, mutual funds, investment advisers, insurance...

    25 days ago from BCG Attorney Search

  • Attorney with 4-6 years of investment services experience

    BCG Attorney Search - Chicago, IL

    and litigation), M&A, finance/commercial lending and investment services (mutual fund, etc.) practices in the ... banks and other financial institutions, securities brokers and dealers, mutual funds, investment advisers, insurance...

    25 days ago from BCG Attorney Search

  • Managing Director General Counsel North America Private Bank Legal

    Citi - New York, NY

    the Global General Counsel of the Private Bank and other regional General Counsels in APAC, EMEA and Latin America. ... Rule and tax-related initiaties such as FATCA and CRS; and Providing primary legal coverage for AML and...

    30+ days ago from Citi

  • Sr. Associate Broker Dealer Compliance Officer

    Compliance Search Group - Boston, MA

    and Tokyo. The firm is organized into a holding company and five separate and independent advisors. Included in the ... Investment Advisory laws and rules (40 Act), as well as other securities related laws and rules (33 and 34 Acts) •...

    30+ days ago from The Ladders

  • Senior Counsel -Broker/Dealer

    BMO Financial Group - Chicago, IL

    counsel to the registered investment adviser and retail brokerage business in the United States. Primary emphasis ... and risk management personnel, analyze regulatory, investment and trading issues, review and negotiate client,...

    30+ days ago from BMO Financial Group

  • Senior Counsel -Broker/Dealer

    BMO Harris Bank - Chicago, IL

    counsel to the registered investment adviser and retail brokerage business in the United States. Primary emphasis ... and risk management personnel, analyze regulatory, investment and trading issues, review and negotiate client,...

    30+ days ago from BMO Harris Bank

  • Bank Business Coverage Attorney

    Morgan Stanley - New York City, NY

    of investment banking, securities, investment management and wealth management services. The Firm's employees serve ... preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and...

    30+ days ago from Morgan Stanley

  • Associate General Counsel, Investment Management & Fiduciary Services

    Tiaa Cref - New York, NY

    organization. Experience with banking, brokerage, pension plans, securities, annuities, life insurance and other ... and controls in partnership with the business and Compliance. Strong sense of personal accountability, client focus and...

    15 days ago from Tiaa Cref

  • Wealth Management Senior Investment Advisory/Asset Management Attorney

    Morgan Stanley - New York City, NY

    services firm providing a wide range of investment banking, securities, investment management and wealth ... preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and...

    22 days ago from Morgan Stanley

  • Investment Advisory/Asset Management Attorney

    Morgan Stanley - New York City, NY

    services firm providing a wide range of investment banking, securities, investment management and wealth ... preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and...

    30+ days ago from Morgan Stanley