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The following jobs are no longer active but were real openings previously posted by employers.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.
of Compliance - RIA The candidate will be responsible for oversight of the RIA's for the companies and will provide service to multiple organizations under the company umbrella of companies. Will assist the CCO in the development and maintenance of effective and efficient compliance programs, partnering with other support groups such as sales, operations, technology, and risk management to achieve effective processes and controls. Report to firm's Chief Compliance 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Note: This job is no longer active.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
of Compliance- RIA Duties: Responsible for oversight of the RIA's for the group companies and will provide service to multiple organizations under the Lincoln umbrella of companies. Assist the CCO in the development and maintenance of effective and efficient compliance programs, partnering with other support groups such as sales, operations, technology, and risk management to achieve effective processes and controls. Reports to firm's Chief Compliance Officer and 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Note: This job is no longer active.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
Summary Company Lincoln Investment Planning, ; Location Wyncote, PA 19095 Industries Financial Services Job Type Full Time Employee Years of Experience 5+ to 7 Years Education Level Bachelor's Degree Career Level Manager (Manager/Supervisor of Staff) Job Reference Code Comp Adv- IA- 10/2011 Compliance Advisor- Investment Advisor About the Job Basic Function: Position involves responsibility for all investmen... 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 Officer, Investment Adviser The candidate will be responsible for all investment advisory compliance for a SEC registered investment advisor. Will report to Chief Compliance Officer and will work closely with the Advisory Sales Department. Responsible for assisting the CCO in the establishment, maintenance and enforcement of the rules and regulations of the Investment Advisers Act of 1940, ERISA, DOL, fiduciary law.... Responsible the implementation of the firms inve... 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
Vice President, Investments Counsel Duties: Will provide support to Penn Mutual and its affiliates as a member of the Law Department, reporting to the Chief Legal Officer. Will primarily provide counsel to company's wholly owned subsidiary, company's Asset Management, a registered investment advisor and advisor to Penn Mutual, including surrounding the investment portfolios of company and its insurance affiliates. In addition to other, this role will support genera... 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
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
Counsel The candidate should have 1-3 years of legal experience. Will have received their federal securities law experience from a major law firm with emphasis on the 1933 Act, the 1934 Act and... the 1940 Act. The role will... focus... on matters of federal securities law, corporate governance, contracts, marketing material review and other general legal issues arising in the business. . with strong academic credentials required. Should have 1-3 years of legal experience; willing... 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
Attorney POSTED: Feb 08 Salary: Open Location: Philadelphia, Pennsylvania Employer: **Members Only** Franklin Square is a national sponsor and distributor of alternative investment products structured for the mainstream investor. Founded in 2007 by an experienced group of alternative invest... 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 Officer Firm is seeking a Chief Compliance Officer who understands the fixed income financial markets, the fiduciary obligations of investment advisers and regulatory requirements of registered investment advisers to oversee and implement the firm’s compliance program. The Chief Compliance Officer is primarily responsible for day-to-day implementation and maintenance of the compliance program including, among other things, the development of compliance p... 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