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The following jobs are no longer active but were real openings previously posted by employers.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.
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Note: This job is no longer active.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Note: This job is no longer active.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
Compliance Officer Logan Circle 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 individual will be responsible for Logan Circle’s compliance program. The position will manage one compliance employee at Logan Circle and will work closely with various member... 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
General Counsel – Legal and Corporate Affairs The candidate will assist in providing direction to the other members of the legal team in addition to specific responsibilities related to matters of federal securities law, corporate governance, contracts and other general legal issues arising in the business. Should have a . degree, with strong academic credentials. Must have 12 years of experience working at a law firm or in-house with an investment bank concen... 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
Consultant, Compliance - Legal Analyst, Investment Advisory The candidate will be responsible for assisting with overseeing the compliance aspects of the firm's asset investment advisory programs and services offered and sponsored. Will work closely with LFN compliance officers and senior management from advisory services, legal, finance, operations and marketing. Will also work closely with regulators and internal/external auditors as needed and must possess a compre... 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 - Investment Advisory The candidate will manage the drafting, updating, filing, delivery and maintenance of firm’s Form ADV disclosure brochures. Must have thorough understanding of investment advisory fiduciary responsibilities and appropriate disclosure of conflicts of interest. Recommend new disclosures as appropriate and coordinate with business units to facilitate updates to Form ADV as required. Identify risks and conflicts of interest related to... 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
Part-time Temporary Attorney The candidate will be responsible for: preparation of registration statements and other SEC filings; negotiation of investment management agreements advising clients on issues relating to the Investment Company Act of 1940 and the Investment Advisers... Act of 1940; preparation of agendas, resolutions... and other materials for Board meetings; review of shareholder reports and marketing materials distribution-related issues and contracts; review of ven... 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