Legal category and Financial Services industry jobs in Elizabeth, New Jersey

Purpose of Role The Executive Assistant of the Compliance Department will manage the administrative functions of the Compliance Department. The Executive Assistant will perform a variety of administrative, regulatory filing, staff support, and planning activities. Principal Duties & Responsibilities: • Catalog and maintain Compliance documents and correspondence • Compose, edit, and proofread corr...
full job description

VP Compliance Officer – Broker Dealer $100-140K + 30-35% Bonus Billion dollar global broker dealer conglomerate seeks degree with 5+ years diversified broker dealer compliance. (Series 7, 79 and 24 preferred) Must have strong knowledge of US Securities laws and regulations including FINRA, SEC and the Securities Act of 1933 and 1934. Must have knowledge of broker dealer products and services; equi...
full job description

Description Responsibilities of the attorneys in UBS Investment Bank's litigation group include: • Representation of UBS Investment Bank in litigation, regulatory and enforcement proceedings, and internal investigations. • Supervision and management of outside counsel in litigation, regulatory and enforcement proceedings, and internal investigations. • Counseling and advising the business in conne...
full job description

Description Responsibilities of the attorneys in UBS Investment Bank's litigation group include: • Representation of UBS Investment Bank in litigation, regulatory and enforcement proceedings, and internal investigations. • Supervision and management of outside counsel in litigation, regulatory and enforcement proceedings, and internal investigations. • Counseling and advising the business in conne...
full job description

The Role We are looking for a Compliance Officer that has working knowledge of FINRA rules and regulations relating to electronic trading. Qualifications: - Bachelor's Degree and 3+ years of relevant experience - Series 7 and 24 licenses - Familiarity with Rules relating to Clearing/Settlements, OATs and Trade reporting is preferred. - Strong communication skills and an attention to detail is requ...
full job description

Bloomberg is seeking an intellectual property attorney to join its in-house legal department. The Intellectual Property Counsel will be responsible for the review and negotiation of third party software licenses and IT and media-related agreements. The Intellectual Property Counsel will advise clients on a broad range of intellectual property matters, including software development, open source li...
full job description

Job Summary & Mission: As a Surveillance Analyst in the Compliance Department, you will analyze exception reports, conduct in-depth trading / portfolio reviews, and investigate potential sales practice violations. In the process, you will collaborate extensively with branch management teams, regional compliance officers, home office legal/compliance professionals and business personnel to ensure c...
full job description

Job Summary & Mission: As a Sensitive Client Unit Risk Analyst you will conduct enhanced due diligence on existing and new clients in accordance with Firm CIP policies and the USA Patriot Act for predominantly international clients and sensitive domestic clients such as PEPs or those associated with high risk industries or countries. Due diligence is comprised of using both internal and external d...
full job description

This role of a Surveillance analyst involves becoming an integral member of the Money Laundering Prevention Group (MLPG). An analyst is tasked with performing reviews of client relationships for potential suspicious activity through the use of various monitoring tools on both a post transaction and real time basis. The review process involves using the Firm's various systems to evaluate the indivi...
full job description

This role of a Surveillance analyst involves becoming an integral member of the Money Laundering Prevention Group (MLPG). An analyst is tasked with performing reviews of client relationships for potential suspicious activity through the use of various monitoring tools on both a post transaction and real time basis. The review process involves using the Firm's various systems to evaluate the indivi...
full job description

Job Summary & Mission: As an Associate General Counsel working in the Alternative Investment area, you will play a lead role in providing advice in the development, structuring, offering and maintenance of alternative investments both registered under the Investment Company Act but also offered as private placements and fully registered vehicles. These products include Hedge Funds, Funds of Funds,...
full job description

Title: Documentation Processor Supervisor: Documentation Team Leader Summary of Positions: Review information entered into Loan System by credit for accuracy, prepare documents ensuring they meet conditions set by credit. Timely preparation of file for bank funding and follow up and collection of any outstanding items. Constant communication with internal and external customer for proactive resolu...
full job description

Administrative Assistant Supporting a group of 20 legal members in the transaction management department working with various forms of industry documentation. •Responsibilities include executive and team administrative assistance, documentation management, and reporting. •College graduate required. Who we're looking for • The team is looking for someone that can come in as an admin but has potenti...
full job description

Job Summary & Mission: As an AML Compliance On boarding Analyst you will be required to review and approve new client accounts for the UBS Private Bank, while ensuring compliance to the due diligence requirements required by global/local policies and procedures and to the applicable sections of the USA Patriot Act. In addition you will be responsible to communicate issues noted during the review t...
full job description

UBS Securities LLC, a global financial services company seeks a Compliance Officer/Regulatory attorney to handle various SEC, NASD, NYSE and other regulatory matters. Handling these regulatory inquiries, investigations and examinations involves (i) interacting closely with regulators, (ii) working with employees throughout the firm, (iii) gathering and organizing documents and information, and (iv...
full job description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. The Compliance Department of JPMorgan Chase & Co is organized by ...
full job description

We are looking for an attorney to provide legal counsel and advice for the Alternative Assets business group and other advice on contracts and regulatory compliance on an as-needed basis. This position will be located in our Midtown Manhattan, NYC office. Responsibilities: Draft, negotiate and administer contracts for customers and vendors of the Alternative Assets business. Contracts include fund...
full job description

We have an opening for an experienced Advisory M&A attorney in the Investment Banking, Capital Markets and M&A Team for the Americas. The team works closely with the bankers in the Investment Banking Department and Equity and Debt Capital Markets teams on M&A transactions, financing transactions, restructurings/bankruptcies, and other similar transactions. In addition, the team advises on securiti...
full job description

TD is a great organization powered by great people who want to make a difference every day. Our over 85,000 employees world-wide are a big part of what makes TD stand out from any other organization. Every day, we deliver legendary customer and client experiences to our approximately 19 million customers. We’re an award-winning organization that reinvests constantly to ensure future growth. We’re ...
full job description

About the Opportunity An asset management firm is currently seeking a Compliance professional to join their staff as an Associate focusing on Marketing Material. The qualified individual in this role will be responsible for reviewing and approving the firm’s marketing and promotional materials distributed to institutional and retail audiences and serving as a subject matter expert for sales and ma...
full job description

About the Opportunity A boutique investment bank has an excellent role available awaiting an experienced Compliance Associate. The qualified Associate will be responsible for maintaining the standards of conduct required of the bank’s businesses as well as the laws, regulations and policies governing these equity and credit businesses in order to assist the bank in avoiding economic, regulatory an...
full job description