Job Title: Broker Dealer Marketing Compliance Job Responsibilities: -... Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on...
negotiate contracts for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep informed on legislation a...
Manage and negotiate contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk manageme...
Title: Senior Director, Senior Managing Counsel Job Responsibilities: The Senior Director, Senior Managing Counsel at Company plays a pivotal role in the Legal department, reporting directly to the Head of Legal for Company Pershing/Company Wealth Services. The primary responsibilities include: - Acting as...
Company for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and... technology affiliate as needed. - Advise on new product development and regulatory risk management decisions. - Provi...
contracts for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and... technology affiliates as needed. - Advise on new product development and regulatory risk management decisions. - Provide business leaders an...
negotiate contracts for a variety of advisory, brokerage, technology, and operational services within Pershing. - Provide general legal support to broker-dealer, registered investment adviser, and... technology affiliate as needed. - Advise on new product development and regulatory risk management decisions. - Provide busin...
Department, which oversees two Broker-Dealers and a Registered Investment... Adviser. The primary responsibilities include the interpretation and application of securities laws and regulations to provide guidance across various business units. The attorney will work directly with registered representatives and regulat...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be an integral part of the Legal, Risk, Sustainability & Compliance team at the company, focusing primarily on supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team and will act as in-house counsel dedicated to supporting the company's real estate investment funds. The...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: - Advise on a wide array of legal and regulatory matters concerning the formation, structuring, distribution/marketing, and operation of private funds. This includes preparing and negotiating private placement memoranda, partnership agreements, term...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, serving as the in-house counsel for the company's real estate investment funds....
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will serve as in-house counsel for the company's real estate investment funds as part of the Legal Risk Sustainability Compliance (LRSC) Team. Responsibilities include: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel - Investment Fund will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company. This role involves serving as in-house counsel dedicated to supporting...
branch and an SEC-registered broker dealer. - Counsel on legal... and regulatory issues, conduct legal research, and review documentation for financial transactions. - Present updates to senior management and manage corporate governance in support of CIB under the supervision of the General...
Title: Counsel – Real Estate Job Responsibilities: As Counsel – Real Estate, the candidate will be integral in supporting the company's real estate operations across the Americas. The role involves collaborating with a dynamic legal team and working closely with leadership and...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as necessary and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
Title: Paralegal Job Responsibilities: As a Paralegal in the Trading, Marketing, and Operations Legal Group at the company, you will provide essential legal support related to contracts for exchange-traded funds and mutual fund product platforms. Your responsibilities will include assisting in the...
engagements. Your primary duties will include: - Reviewing tax returns prepared by staff and senior tax accountants to ensure accuracy. - Engaging in all facets of financial services tax engagements, including those related to hedge funds, private equity, venture capital, broker dealers,...
aspects of financial services tax engagements, including hedge funds, private equity, venture capital, broker-dealers, and management companies. - Research... and draft memoranda on complex tax matters. - Identify and implement tax planning opportunities. - Handle and resolve tax controversies. - Oversee complete tax research...
sector, including hedge funds, private equity, venture capital, broker dealers, and management companies.... Your key duties will include: - Reviewing tax returns prepared by tax staff and seniors to ensure accuracy. - Engaging in all aspects of financial services tax engagements. - R...
primary responsibilities of this role include: - Reviewing tax returns prepared by tax staff and/or seniors to ensure accuracy. - Engaging in all aspects of financial services tax engagements, which encompass hedge funds, private equity, venture capital, broker dealers, and management companies. ......
aspects of financial services tax engagements, including those related to hedge funds, private equity, venture capital, broker-dealers, and management companies. - Conducting... research and drafting memoranda on complex tax matters. - Identifying and implementing tax planning opportunities to optimize client tax situations....
Title: Senior Associate, Licensing Acquisition Full Time Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed. This may also involve reviewing work conducted by Associates. - Participate in state money transmission license...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including preparation of...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including preparation of...
Title: Intern, Advocacy Job Responsibilities: The primary responsibility of the intern in the Advocacy role is to engage with the Advocacy Group and collaborate with Associates in Research, Legal, and Capital Markets. The intern will be tasked with specific projects that need...
Title: Senior Paralegal Job Responsibilities: The Senior Paralegal at the company will assume a pivotal role in managing and executing transactions across the company's core businesses, particularly within the real estate sector. This position entails working closely with the eight members of...
all aspects of the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including... Delaware trust) offerings and services. - Develop and support the implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regula...
concerning all aspects within the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including... Delaware trust) offerings and services. - Develop and support the implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regul...
the Bank’s full-service wealth management business, which encompasses RIA, Broker Dealer, and Trust offerings... and services. - Develop and implement legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulatory issues. - Assist Compliance and Risk colleagues in responding to re...
Title: Senior Legal Counsel Job Responsibilities: - Analyze new and existing products and services to identify risks and ensure compliance with applicable regulations, particularly focusing on the Investment Advisers Act. - Identify and mitigate risk implications while providing legal advice in connection with...
Title: Senior Legal Counsel Job Responsibilities: - Support the Associate General Counsel in advising and supporting a wide range of legal matters across global business units with a focus on: - Assisting product teams in the design and implementation of new products...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be a key member of the company's global Legal Risk Sustainability Compliance (LRSC) Team, serving as in-house counsel focused on the company's real estate investment funds....
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, dedicated to supporting the company's real estate investment funds. The role involves providing...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a pivotal role within the company's global Legal Risk Sustainability Compliance (LRSC) Team, focusing on supporting the company's real estate investment funds. The position involves a...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a key member of the Legal Risk Sustainability Compliance (LRSC) Team at the company, specifically supporting the company’s real estate investment funds. The role involves: - Advising...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team, focusing on the legal aspects of the company's real estate investment...
a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep informed on legislation a...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Keep...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser... as needed. - Advise on new product development and regulatory risk management decisions. - Kee...
Title: Underwriting Technical Specialist, Tax Underwriting Job Responsibilities: The Underwriting Technical Specialist in Tax Underwriting is responsible for managing tax-related risks and ensuring proper underwriting practices are followed. Key responsibilities include: - Sourcing and analyzing tax liability insurance...
Title: Technical Director, Advanced Consulting Group Job Responsibilities: As the Technical Director of the Advanced Consulting Group (ACG) Annuity Team, the primary responsibility is to assist Americans in preparing for and living in retirement. This role requires expertise in the tax rules...
Title: Paralegal (Associate) Job Responsibilities: The Paralegal (Associate) at the company will be part of the in-house Legal team supporting the corporate and funds distribution group. The role involves various responsibilities that include: - Drafting, reviewing, and maintaining investment fund distribution agreements, placement...
Job Title: Counsel – Broker-Dealer Regulatory Job Responsibilities: - Provide legal... the Investment Company Act, Exchange Act, Investment Advisers Act, and FINRA rules. - Offer advice and counsel to the company's limited-purpose broker-dealer on compliance with FINRA... rules and other regulatory matters. - Draf...