contracts related to the company's ETF and mutual fund... distribution business. - Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities:... - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Associate Attorney – Securities The candidate... will play an immediate and direct role in regulatory, compliance, and transactional client work for a national practice serving SEC-registered investment advisory firms, open-end investment... companies (mutual funds), registered... closed-end investment companies, ETFs, common and... collective investment trusts, other public and... private on-shore and off-shore investment vehicles, and fund industry... service providers. In addition, they wi... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel (1940 Act Attorney) The candidate... will support firm continued growth. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are prepared timely and accurately. Ensure client satisfaction and resolve issues. Ensure deliverables are prep... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel (1940 Act Attorney) The candidate... will support growth, specializes in the Investment Company Act of 1940.... Adept at... interacting with management, external counsel and clients. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are pre... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
HERE ## Associate Counsel **Location:** Portland, ME, United States **Date Posted:** Apr 20, 2023 read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Loan Specialist The candidate will manage a loan pipeline from origination through to settlement and funding in accordance with Bank policies and procedures. Provides documentation and Bank policy and procedure guidance to all lending areas. Orders various loan documentation and searches, as necessary. Updates Exception report weekly. Verifies all quality control procedures are maintained and monitored. Majority of loans handled are standard, non-complex in nature... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Administrative Assistant I Duties: Responsible for providing administrative, clerical support and general office functions as required by attorneys and staff. May handle the more complex administrative issues. Entrusted with highly confidential information and interfaces with Customers and staff on a daily basis in a timely and confidential manner. Prepares and/or composes correspondence and memoranda on pending legal matters; maintains department filing system. Coordi... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Admin Assistant I The candidate provides administrative, clerical support and general office functions as required by attorneys and staff. May handle the more complex administrative issues. The position is routinely entrusted with highly confidential information and interfaces with Customers and staff on a daily basis in a timely and confidential manner. Prepares and/or composes correspondence and memoranda on pending legal matters; maintains department filing system.... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel- Retail Money The candidate provides legal advice and support to management in Corporate Group Functions and Business units. Functions as a legal advisor and resource in one or more defined subject matters and/or specific businesses. Provides legal advice to the organization, prepares documents, resolutions, forms and pleadings, and participates in major legal actions. Responsible for foreseeing and protecting the company against legal risks. Relies... on experience and... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
1940 Act Paralegal The candidate provides... paralegal assistance to senior attorneys in furtherance of an array of business line objectives (investment management, executive, and sales... and marketing) and in support of a broad range of mutual fund regulatory and administrative requirements (pursuant to the Investment Company Act of 1940).... Provides significant... work in drafting, negotiating, and maintaining a range of contractual and related type arrangements. Significant contact... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
1940 Act Paralegal The candidate provides... paralegal assistance to senior attorneys in furtherance of an array of business line objectives (investment management, executive, and sales... and marketing) and in support of a broad range of mutual fund regulatory and administrative requirements (pursuant to the Investment Company Act of 1940).... Provides significant... work in drafting, negotiating, and maintaining a range of contractual and related type arrangements. Significant contact... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here