Title: Associate Counsel – Third Party Distribution Job Responsibilities: - Provide legal advice and representation on matters related to the company's business activities and investment products. - Prepare resolutions and participate in major legal actions. - Liaise with the business on strategic issues and...
The following jobs are no longer active but were real openings previously posted by employers.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, Retail Advice (Hybrid) An Investment Management Company is seeking a Senior Counsel to join their Retail Advice Legal Team and provide guidance to advisory offers that serve more than 300,000 individual clients. The successful candidate will have knowledge of the investment industry and an understanding of the Securities Exchange Act of 1934, the Investment... Advisers Act of 1940, the Investment... Company Act... of 1940, SEC rules,... and FINRA... rules. Job Responsi... 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Note: This job is no longer active.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
Job Description Senior Counsel ( Job Number: 1108094) Description Pershing LLC is seeking a Vice President and Senior Counsel for its Lockwood Advisors/Pershing Managed Account Advisor Solutions investment advisory business based in Malvern, PA. This individual should have a proven track record in counseling investment advisers on issues related to compliance with the Investment Advisers Act of 1940, as amended, and the... regulations there under. The Vice President 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Note: This job is no longer active.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
Counsel - Securities Finance The candidate’s primary area of focus will be on the company’s global securities financing activities including supporting business teams responsible for securities lending (both agent and direct lending) and repurchase transactions. This active and expanding business is subject to ever increasing global regulatory oversight with potential impact to the scope and structure of the market and business as well as to the underlying cont... 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, Investment Products and Advisors Team The candidate will primarily work with the portfolio managers in firm's Investment Management Group on a wide variety of equity and fixed income investment matters. Will also represent firm's on investment-related policy matters, such as fixed income market transparency, liquidity risk management matters, municipal bond issues, among others. Should have Law degree from a competitive law school. Must have 3-5 years of e... 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 - ERISA The candidate will provide legal advice, counseling and education to IIG business partners in support of their investment, recordkeeping and investment advisory services to retirement plans and other institutional investors, such as endowments, foundations and insurance companies. Will advise IIG business partners and other internal clients on the design and operation of investment products, advice, and other services for retirement accounts in comp... 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 – ERISA 117692 Malvern, PA, US August 30, 2018 Apply Keep Me In Mind Add to Cart At Vanguard, our core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. We have a vibrant and multi-faceted business, and the Office of the General Counsel encounters a wide range of complex issues as we advance Vanguard’s core purpose by providing exceptional, high-value legal 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
Associate Counsel, Funds & Advisors The candidate work with a team of talented professionals who share a commitment to excellence as represent firm on a variety of investment management regulatory matters. Should have law degree from a competitive law school. Must have 4+ years of experience providing legal advice on securities, banking and/or insurance regulatory matters, Candidates with experience providing interpretive advice under the Investment Company Act of 1940 and 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
Associate Counsel The candidate must have 4+ years of experience providing legal advice on securities, banking and/or insurance regulatory matters and academic credentials (.). Must have experience providing interpretive advice under the Investment Company Act of 1940 and the Investment Advisers... Act of 1940 to mutual funds, ETFs... and other pooled investment vehicles. Experience preparing SEC exemptive applications and no action letters is a plus. Experience advising a glob... 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, Disclosure and Governance Team, Investments Products and Advisors Regulatory Practice The candidate will work with a team of professionals who share a commitment to excellence. This role will work on a variety of mutual fund disclosure and governance regulatory matters, including, supporting the company fund Boards. Members of the team collaborate on strategic initiatives with a variety of internal business partners, including company’s investment manageme... 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 Manager – Office of General Counsel The candidate will serve as the Subject Matter Expert related to the Investment Advisers Act of 1940 as applied to investment... advisory offerings and programs, including the Rule 206(4)-7 compliance program related thereto. Will serve as the trusted advisor to business units that develop and support VAI's existing investment hybrid and automated advisory offerings, Vanguard Personal Advisory Services and Vanguard Digital A... 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