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About this industry


Awareness + approach

Reputation is an asset—the wealth of which rests on the people who make the place. That’s why leaders in the competitive financial services space rely on Jackson Lewis. Our deep experience across the full range of industry institutions provides deep insights and practical solutions for the unique framework of laws, agency regulations and related codes of conduct that apply to employers who rely on relationships to better their bottom line. Our legally sound advice and best practices help clients shape and structure the size and scope of their operations in an efficient manner, consistent with their business culture and objectives.


Financial services institutions of all sizes and across all investment strategies rely on our industry know-how to better manage their workforce issues.

  • Banks: Commercial, community and multinational
    investment houses
  • Credit unions
  • Insurance companies
  • Accounting firms
  • Alternative investors: hedge funds, private equity groups

Key concerns

We help clients overcome the operational challenges and regulatory complexity inherent in their industry so that they can continue to be leaders in their marketplaces.


Balancing the Bottom-Line + Workplace Culture

From return-to-office aspirations and office attractions to wages, work-life balance and beyond, we help financial services and other predominantly white-collar industries assure that all their innovative human resource policies and procedures comply with federal and state regulations, industry guidance, and federal, state and local law.

Advice and Counsel

Keeping Competitive with Employee Benefits

Recruiting and retaining top talent is key in the competitive financial services sector. We advise on the evolving legal requirements applicable to executive compensation; designing, implementing and using ESOPs in various types of transactions; and structuring pension, profit sharing, 401(k) and other types of retirement, compensation and welfare benefit plans.

Employee Benefits 

Taking Advantage of Technology

Leveraging AI, automation and other advances in technology while still adhering to best practices and protecting against breaches and other data security and privacy threats is a major motivator for financial services stakeholders. We assist our industry clients from compliance to incident response and everything in between across all regulatory regimes.

Privacy, Data and Cybersecurity

Getting Structure and Size Right

From computing-enhanced employee productivity to job classifications (e.g., employees, independent contractors and interns), outsourcing and more, the right business structure and size is increasingly relevant to financial services stakeholders. Our integrated team of attorneys helps clients address the full range of vulnerability assessments, corporate campaign/union organizing responses, and reductions-in-force/reorganization compliance approaches and defenses.

Labor Relations

Building a Compliance Culture + Addressing Whistleblowing

As incentives for whistleblowing increase in highly regulated industries, so does the need for understanding the conduct as a symptom rather than the disease. From developing updated codes of conduct and management trainings to performing compliance evaluations and FCPA and other investigations, as well as defending whistleblower claims under Dodd-Frank, SOX and other federal, state and local laws, we help financial services organization and their top leadership protect themselves.

Corporate Governance and Internal Investigations

Defending Against Any Claims

The highly regulated and resource-rich nature of the financial services industry makes it ripe for litigation. We are recognized for successfully defending employers against workplace-related single plaintiff, class and complex action litigation and arbitration across the U.S; claims brought before federal and state courts, FINRA, the AAA and JAMS; and claims brought by government agencies.


2023 Webinar Series

Join our attorneys for a series that addresses the most significant workplace law issues currently confronting employers in the financial services industry.

From the Breakroom to the Boardroom: ESG and the Financial Services Industry

December 06, 2023, 2:00 — December 06, 2023, 3:00 PM

Organizations–both public and private–are beginning to realize the business imperative of sound, strategic, values-based governance. In the employment realm, ESG focuses on human capital and the many ways a company demonstrates that it values its employees and shares their values. This session will address key areas industry employers should consider when evaluating their approach.

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Diversity tree

Best Practices for Tackling DEI Concerns

This session will focus on the unique diversity, equity and inclusion issues confronting the financial services industry and best practices for managing them. We will discuss topics such as the “Diversity Provision” of the Dodd-Frank Act Section 342, diversity requirements for state legislative boards, senior management and state regulatory agency, and NASDAQ Board Diversity Rule.

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Union Organizing: The Latest Trends

98% of employees in the financial services industry are not unionized, but 70% of Americans approve of unions. Long an unlikely target for organizing, the industry is now in the crosshairs. This session will explore steps employers can take now to mitigate the risk of union organizing and remain among the 98%.

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Creating a Technological Balance Sheet by Streamlining Business Processes and Mitigating Risk

New technological advances such as artificial intelligence, machine learning systems and blockchain present limitless opportunities for the financial services industry. These advances go beyond service delivery models and may be leveraged to help manage the workplace. While these technologies can help streamline business processes, employers must be aware of the potential pitfalls associated with their use. 

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