expertise in the ’40 Act to join their team... in Owings Mills, MD. This role offers a competitive salary of $170,000 - $350,000, depending on location and experience, and is eligible for a hybrid work schedule. Role Summary...
The following jobs are no longer active but were real openings previously posted by employers.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 Counsel / Alternatives Compliance Officer The candidate will support the legal and compliance department in the provision of advice with respect to the Investment Advisers Act of 1940, the Investment Company Act... of 1940, the Securities and Exchange... Act of 1934, the Employee... Retirement Income Security Act of 1974 (ERISA), SEC... No-Action Letters, CFTC rules, National Futures Association rules, state banking and trust laws, other laws and regulations as relevant. Suppo... 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Note: This job is no longer active.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
Compliance Director - Investment Advisory The candidate will provide investment advisory compliance coverage for company's Personal Wealth Management (PWM) and company's Personal Investments (PII) activities operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser... regulations, Group's fiduciary policy, and other relevant Group policies.... 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Note: This job is no longer active.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
40 Act / Private Fund -... Investment Management Counsel The candidate will support the Asset Management business unit within the Wealth and Institutional Services Division (WISD) with respect to investment management related services, including family of proprietary mutual funds and private investment funds. Will provide primary legal support on the formation, operation and termination of Trust private investment funds. Provide advice on 1940 Act/mutual fund issues, including... ...... 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
40 Act / Private Fund -... Investment Management Counsel The candidate will support the Asset Management business unit within the Wealth and Institutional Services Division (WISD) with respect to investment management related services, including family of proprietary mutual funds and private investment funds. Will provide primary legal support on the formation, operation and termination of Trust private investment funds. Provide advice on 1940 Act/mutual fund issues, including... ...... 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
40 Act / Private Fund -... Investment Management Counsel The candidate will support the Asset Management business unit within the Wealth and Institutional Services Division (WISD) with respect to investment management related services, including family of proprietary mutual funds and private investment funds. Will provide primary legal support on the formation, operation and termination of Trust private investment funds. Provide advice on 1940 Act/mutual fund issues, including... ...... 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
40 Act / Private Fund -... Investment Management Counsel The candidate will support the Asset Management business unit within the Wealth and Institutional Services Division (WISD) with respect to investment management related services, including family of proprietary mutual funds and private investment funds. Will provide primary legal support on the formation, operation and termination of Trust private investment funds. Provide advice on 1940 Act/mutual fund issues, including... ...... 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
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
Associate Counsel The candidate will support the Chief Compliance Officer in the provision of advice under the Investment Advisers Act of 1940, Investment Company Act of... 1940, FINRA rules, the Securities... and Exchange Act of 1934, the Employee... Retirement Income Security Act of 1974, banking and... trust laws of Maryland and Delaware, and other laws and regulations as necessary. Will support the firm's compliance program and its efforts to prevent, detect and correct violations o... 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
Regulatory Fund Admin Manager Duties: Oversee the day-to-day regulatory administration infrastructure of the proprietary investment function, primarily with respect to the mutual funds registered under the Investment Company Act of 1940 (the “Fundsâ€), and other... internally manufactured investment products. Coordinate planning and execution of all aspects of the meetings of the Funds’ Boards of Trustees (the “Boardâ€) including the production process, drafting agend... 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 Legal Analyst The candidate will be responsible for the on boarding and maintenance of the firm’s institutional business (. negotiating agreements for clients who have a separately managed account with the firm) as well as registration and ensuring compliance with any rules and regulations applicable to this part of the business, namely the Investment Advisers Act of 1940. Works on a wide... array of legal and compliance matters to identify, research, analyze, comme... 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