Job Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel... is responsible for providing... securities-focused legal counsel to support the registered... investment adviser (RIA) and related... client agreements, disclosures, and regulatory documents for RIA services. -... Providing legal counsel on the Advisers Act,......
Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities... include the interpretation and application of securities laws and regulations to provide guidance across various business units. The attorney will work directly with registered representatives and regulat...
The following jobs are no longer active but were real openings previously posted by employers.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.
Senior Counsel The candidate will assist... the Head of Legal for company as well as various Associate General Counsels in the US Legal department in executing legal responsibilities relating to company's asset management products with a particular focus on ETFs and other registered US based products. Will work with other members of the company US legal team (and company attorneys outside the US as necessary) to support various businesses. This role includes daily involvement w... 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Note: This job is no longer active.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
Legal Counsel - Derivatives The candidate... will work with other members of the legal team as well as counterparts and internal clients across the globe to support our various product lines. Responsible for derivatives related contract work to support the derivatives trading capabilities of the firm. Responsible to track, monitor and guide the business in its strategic response to derivatives regulatory reform. This necessarily requires... cross-border collaboration with counterp... 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
Senior Compliance Officer (Funds) The candidate will work with other team members to participate in the identification, implementation, resolution, and ongoing monitoring of compliance issues related to the managed funds provided by firm. Will develop, coordinate, and execute various compliance testing and monitoring initiatives for firm’s managed funds in such areas as: disclosures, trading, investment allocation, and marketing. Respond... promptly to detected offenses, deve... 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
SVP, Compliance Director - Funds The candidate will be responsible for implementation of the mutual fund compliance program to ensure its regulatory and fiduciary obligations are... met. Serve as the Chief Compliance Officer (“CCOâ€) of company Mutual Funds and the company Advantage Funds (the “Fundsâ€). Reports to the Board of Trustees of the Funds’ and to the company Chief Compliance Officer. Ensure development, enforcement, administration and ongoing maintenance of t... 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
Sr. Counsel Corporate Investment Banking Lending The candidate... will support the lending activities of company's leading middle market investment banking business. Will serve... as a strategic legal adviser to the syndicated, asset... backed and bilateral lending businesses including credit, risk and compliance partners in the lending process. Providing legal support for a wide variety of corporate finance transactions (. syndicated lending (sponsor and corporate), ABL lending,... 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
Senior Counsel - Derivatives The candidate... will provide legal leadership in support of company's derivatives capabilities. Will also provide ongoing legal support to various US-based investment centers, with particular focus... on equity and alternative asset classes managed in registered and unregistered US-based products. Work with other members of the company's Americas legal team as well as counterparts across the globe to support various product lines. Role includes daily... 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
Senior Counsel The candidate will be... assisting with, and in some cases, being accountable for, various matters ranging from fund formation and operation in . and . 3(c)(7) institutional and alternative private funds and 3(c)(11) collective investment trusts, including new product... development, drafting offering documents and client communications, negotiating side letters and participation agreements, reviewing and drafting contracts for advisory services and with t... 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
Senior Counsel - Exchange Traded Fund... The candidate will assist the Head of Legal as well as various Assistant General Counsels in the US Legal department in executing legal responsibilities relating to the company's asset management products with a particular focus on Exchange Traded Funds (ETF) and other registered products. This role includes daily involvement with both internal and external business clients and participation in the normal business decision-mak... 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
Director, Private Funds Attorney Responsibilities: This position is part of the . legal team responsible for coverage of Company’s private funds, and will assist with tasks such as: Providing advice on matters related to open-end and closed-end fund structuring across multiple jurisdictions; preparing, reviewing and negotiating fund documentation and offering materials. Managing outside counsel’s preparation and review of fund documentation and overseeing outside counsel... 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
Alternative Investments Legal Counsel The candidate will provide... advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other... documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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