and expanding line-up of ETFs, mutual funds, and interval... and launch of industry-leading ETFs by preparing regulatory documents... and advising business teams. - Provide guidance on regulatory and legal issues impacting the company’s ETF, mutual fund, and investment advisory businesses; coordinat...
The following jobs are no longer active but were real openings previously posted by employers.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.
Line Senior Compliance Manager - Product & Global Distribution The candidate will support the Business Line Compliance Officer (BLCO) in overseeing the compliance programs for the Product and Global Distribution US Intermediaries (Global Distribution USI) business partner with others to enhance compliance processes and programs and develop strong compliance procedures and processes for new product offers, including the firm’s launch of and ongoing operati... 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Note: This job is no longer active.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 Regular Full-Time Washington, DC, US YesterdayRequisition ID: 1013 As the leading global association of mutual funds, ETFs, and other regulated funds,... 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Note: This job is no longer active.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
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
# Assistant General Counsel - Markets, SMAs & CITs ## About **Members Only** (ICI) is the leading association representing regulated investment funds, including mutual funds, exchange-traded funds (ETFs), closed-end funds, and unit... investment trusts (UITs). ICI's mission is to strengthen the foundation of the asset management industry for the ultimate benefit of the long-term individual investor. ## Role Summary T... 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
encourage all qualified individuals to apply, and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other protected status. # Assistant/Associate General Counsel - Securities Regulation ## A Leading Association Representing Regulated Funds Globally 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
Investment Management Attorney and Chief Compliance Officer The candidate will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member of the Regulatory Administration team supporting closed-end funds, as well as open-end funds and ETFs. Maintain the Trust's compliance... program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regu... 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
Legal Counsel – Distribution Duties: Providing legal advice and guidance related to business and regulatory requirements applicable to the sale, promotion, and distribution of its products and services; Providing legal advice, guidance, and coordination for distribution-related activities related to mutual funds (Price Funds), including negotiation of distribution agreements with financial intermediaries; and Participating in industry trade organizations and meeti... 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
Legal Counsel Adviser-Distribution RESPONSIBILITIES: Retail Advisory and Broker-Dealer Activities – Primarily provide legal advice and guidance to the distribution units regarding retail managed account products and other retail advice initiatives advised by TRPAS. Also provide broker-dealer related guidance on such initiatives. Fund Distribution Activities – Provide legal advice and guidance on broad array of business activities pertaining to the distribution of... 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
Legal Counsel - ETF/Mutual Funds The candidate will be primarily responsible for providing support for the legal, regulatory and disclosure requirements regarding a suite of T. Rowe Price ETF products. Will assist in drafting and reviewing exemptive relief applications, securities exchange filings, statutory prospectuses and summary prospectuses, statements of additional information (“SAIsâ€), registration statements, proxies, and governance documents for the T. Ro... 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 - Exchange Traded Funds The candidate will be responsible for maintaining, developing and implementing the firm’s compliance program for the respective firm entity as it relates to Exchange Traded Funds (“ETFs”) while ensuring compliance with applicable laws and regulations. Will be a subject matter expert regarding regulatory requirements and change and advise various business units. Will provide guidance to the firm on regulatory matters related t... 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