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Investment Banking Compliance Attorney Jobs in Maryland

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Job info
Company
In-House
Experience
8-10 yrs required
Location
Olney, MD
Posted Date
May 25, 17
Info Source
Employer
bank products and services; Investment and fiduciary services (including... private banking, trust and investment management activities). Assists General... ensure identification of, and compliance with, all regulatory risk... and regulations. Consults with and provides assistance to the corporate paralegal and outside... read more
Company
In-House
Experience
Min 5 yrs required
Location
Baltimore, MD
Posted Date
May 26, 17
Info Source
Employer
Mutual Fund/Investment Chief Compliance Officer Duties: Responsibility... for the funds and investment adviser consistent with the... the Director of WISD Compliance. Develop and maintain written... compliance of the funds and investment advisers to identify any... compliance function of the investment adviser. Reviewing Form ADV;...... read more
Company
Law Firm
Experience
Min 2 yrs required
Location
Baltimore, MD
Posted Date
May 12, 17
Info Source
Employer
range of legal issues, including compliance with federal and state... statutes and regulations applicable to consumer credit, privacy, data security, residential lending and brokering, deposit issues and licensing. Must have a portable practice to join a banking and finance group.... read more
Company
In-House, T. Rowe Price Group, Inc.
Experience
8-15 yrs required
Location
Baltimore, MD
Posted Date
May 26, 17
Info Source
Employer
and compliance department regarding investment advisory and managed account... relating to regulations impacting investment advisers including capital market... ERISA, GIPS, and the Investment Company Act, as well... state bar required. Senior attorney with Law firm and/or... the financial services industry... read more
Company
In-House
Experience
Min 1 yrs required
Location
Baltimore, MD
Posted Date
May 25, 17
Info Source
Employer
the Global Financial Crimes Compliance Notice process and assisting... members of the Global Compliance department on Firm-wide policies... and procedures issues, such as the creation of templates. Address special projects identified by the Global Head of Policies, Procedures, and Training... read more
Company
In-House
Experience
Min 3 yrs required
Location
Baltimore, MD
Posted Date
May 23, 17
Info Source
Employer
Policies and Procedures Compliance Officer Responsibilities: Coordinate with... developments with Legal and Compliance coverage personnel to ensure... awareness and help determine whether updates to policies and procedures are required. Work with coverage personnel and global counterparts to coordinate the drafting,... read more
Company
In-House
Experience
3-4 yrs required
Location
Hunt Valley, MD
Posted Date
May 26, 17
Info Source
Employer
Counsel The candidate will be drafting, reviewing, and negotiating a variety of commercial agreements, including purchase agreements, term sheets, license agreements, venture agreements, technology and IT agreements. Will be assisting with various commercial legal matters, including advising and negotiating corporate... read more
Company
Recruiter
Experience
Location
Baltimore, MD
Posted Date
Mar 14, 17
Info Source
Recruiter
Registered Investment Adviser Attorney The candidate... plus. Review and negotiate Investment Management Agreements for registered... investment adviser and wealth management... Non-Disclosure Agreements. Review Registered Investment Adviser policies and procedures.... Review and negotiate mutual fund intermediary agreements (shareholder servicing agreements, dealer... read more
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