Title: AVP, Sr. Counsel - Fund Management Job Responsibilities: - Provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel...
The following jobs are no longer active but were real openings previously posted by employers.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.
Manager 3 Duties: Works with senior compliance and business management to identify, formulate and implement compliance risk policies, procedures and controls for the respective business and/or functional area. Provides compliance risk expertise to business projects and initiatives. Represents assigned area on all compliance risk matters requiring review and approval by senior management. Provides strong leadership and direction and monitors and drives progress the... 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Note: This job is no longer active.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 Manager III The candidate will be a key partner on the Risk and Compliance leadership team. Will report directly to the Chief Compliance Officer of the bank’s Funds Management and will actively lead a team of compliance professionals primarily responsible for the development, implementation, monitoring and documentation of oversight programs mandated by the Investment Company Act and the Investment Advisor’s... Act. Will also represent risk... and compliance in vari... 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Note: This job is no longer active.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- Retail Investment Advisory Duties: Provide more focused and comprehensive compliance coverage for Personal Wealth Management and CPII activities under the CGMI registered investment advisor. Enhance control structure and oversight of activities involving the CGMI RIA. Provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser... regulations, 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
VP, Advisory Compliance The candidate will serve as a senior leader in the GRC department and is responsible for the coordination and execution of substantive and varied risk management functions within Advisory Compliance. Reporting to the SVP and Deputy Chief Compliance Officer, Advisory, this individual will lead the implementation and enforcement of firm policies related to the Investment Adviser's Act of 1940 for the corporate investment... advisor and corporate advisors (... 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 assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice in a wide variety of areas related to the company’s broker-dealer business. Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance on development of policies related to new and changing... 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 Consultant Level 5 The candidate will provide oversight, guidance, risk assessment and credible challenge for bank fiduciary and asset management associated regulatory sources which include the Investment Company Act of 1940, Investment Advisers Act of... 1940, and Record keeping and... Confirmation Requirements for Securities Transactions (12 CFR 12); Conduct compliance risk assessments and work in conjunction with the testing and monitoring teams to perform testing an... 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 Consultant V The candidate will provide oversight, guidance, risk assessment and credible challenge for bank fiduciary and asset management associated regulatory sources which include the Investment Company Act of 1940, Investment Advisers Act of... 1940, and Record keeping and... Confirmation Requirements for Securities Transactions (12 CFR 12); Conduct compliance risk assessments and work in conjunction with the testing and monitoring teams to perform testing and moni... 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 Consultant V The candidate will provide oversight, guidance, risk assessment and credible challenge for bank fiduciary and asset management associated regulatory sources which include the Investment Company Act of 1940, Investment Advisers Act of... 1940, and Record keeping and... Confirmation Requirements for Securities Transactions (12 CFR 12); Conduct compliance risk assessments and work in conjunction with the testing and monitoring teams to perform testing and moni... 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 Consultant 5 - Fiduciary and Investment Management Compliance The candidate will be responsible for conducting regulatory compliance risk management oversight for high and moderate risk compliance programs covering national banks, providing subject matter expertise to the businesses and supporting group partners on select OCC, FRB and SEC regulations and risk topics including the Investment Company Act of 1940, Investment Advisers Act of... 1940, and Recordkeeping an... 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
Financial is looking for a Vice President, Associate Counsel to join its Regulatory Enforcement team in the Legal department. This is an amazing opportunity for an experienced lawyer with a Juris Doctor degree and 6+ years of securities regulatory enforcement experience at a law firm. This position offers a competitive pay range, and a generous total rewards package. Job Overview: The Regulatory Enforcement team within LPL’s Legal department is dedicated to managing... 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