Title: Counsel, Retail Job Responsibilities: - Support the day-to-day legal aspects of the asset management business, focusing on mutual funds, interval funds, and retail SMA (wrap program) business. - Review and negotiate firm-level vendor contracts across various business functions, ensuring alignment with legal,...
registered fund regulatory filings and related documentation, including ETFs and mutual funds. -... Support multiple fund boards with ongoing governance activities. - Assist in training and supervising other paralegals in connection with US fund regulatory filings. - Collaborate with counter...
The following jobs are no longer active but were real openings previously posted by employers.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.
Administrator The candidate will perform legal and regulatory research and analysis for attorneys. Will prepare various legal documents. Reviews Federal, State, and Local rules concerning investment company filings. Documents regulatory and compliance issues and files related regulatory reports. Collects data and prepares reports. Prepares correspondence to clients, counsel, and government agencies. Provides analysis, assistance, and recommendations in m... 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Note: This job is no longer active.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
Coverage Attorney for Mutual Funds and other Registered Products Duties: Will be part of a team of lawyers who support the Investment Solutions business which includes traditional registered investment products (., mutual funds, ETFs, unit investment trusts, closed... end funds, 529 plans) as well as insurance and annuities products. Will have significant interaction with Investment Solutions business personnel, and will work closely with the other lawyers on the legal cover... 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 The candidate will provide legal advice and support on issues relating to registered funds and sub- advisory relationships; potentially assist in the creation of new products, such as closed-end funds and actively-managed ETFs; preparation and filing of... annual updates and registration statements for new funds and existing series as well as all other required filings; assist in preparation of materials for, and the coordination of, mutual fund board meetings; draft 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
Registered Funds Counsel Duties: Provide legal advice and support on issues relating to registered funds and sub- advisory relationships. Potentially assist in the creation of new products, such as closed-end funds and actively-managed ETFs. Preparation and filing of... annual updates and registration statements for new funds and existing series as well as all other required filings. Assist in preparation of materials for, and the coordination of, mutual fund board meetings.... 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
Funds Counsel The candidate will assist in structuring and growing the firm's registered funds business and to provide legal support for all company-sponsored registered funds and sub-advisory relationships and other associated products. Will work closely with senior management, fund administration and the compliance team. Handle regulatory issues and general legal matters. Provide legal advice and support on issues relating to registered funds and sub- advisory r... 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
Assistant General Counsel, Brokerage Legal Department RESPONSIBILITIES: Review of marketing and advertising materials. Drafting, reviewing and negotiating contracts, including retail customer account agreements, selling agreements for ETFs and mutual funds, referral... agreements and third-party vendor agreements. Assisting with regulatory investigations and responses to regulatory document requests. Routine advice on brokerage and retirement products and services, particularly... 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
Assistant General Counsel, Brokerage Legal Department The candidate will review of marketing and advertising materials. Will be drafting, reviewing and negotiating contracts, including retail customer account agreements, selling agreements for ETFs and mutual funds, referral... agreements and third-party vendor agreements. Assisting with regulatory investigations and responses to regulatory document requests. Routine advice on brokerage and retirement products and services, par... 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 and Operational Risk Specialist - Mutual Funds and ETFs The candidate will provide... compliance and operational risk oversight of the Investment Products and Platforms (IPP) unit that is part of the Investment Solutions Group within Global Wealth abd Investment Management. Will assist the Compliance and Operational Risk officer team in activities to contribute to the independent compliance and operational risk oversight of Front Line Unit (“FLU”) and Control Functio... 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 The candidate will be responsible for supporting all aspects of legal and regulatory matters relating to the firm’s retail and annuity-dedicated funds. Manage tasks relating to fund registration statements, fund board meetings, strategic initiatives, new regulations and general fund matters. Act as a key member of the team that leads disclosure initiatives across fund complex. Assist with the research and development of new fund products – from init... 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 – Regional Compliance Manager – Vice President- The candidate work within the Wealth Management Compliance team supporting the Securities business. Compliance professionals with both operational and regulatory knowledge and experience in areas related to providing wealth management brokerage and investment advisory services to clients will be expected to strategically partner with the business to ensure that our practices, controls, products and services... 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