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,...
Asset Management Legal. This position is integral to supporting the Columbia Threadneedle Investments, focusing on registered investment companies such as mutual funds, ETFs, closed-end funds, and Columbia... collective investment trusts (CITs). The primary responsibilities include: - Performing ongoing legal and re...
The following jobs are no longer active but were real openings previously posted by employers.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Note: This job is no longer active.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
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
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 & Investment Management. Assists 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 Function (“CF... 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 to join legal department. Responsible for supporting all aspects of legal and regulatory matters relating to the firm’s retail and annuity-dedicated funds. This individual would be involved in tasks relating to fund registration statements, fund board meetings, strategic initiatives, new regulations and general fund matters. Provide leadership and support on fund and investment adviser disclosure matters and initiatives with a keen app... 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
Business: Legal & Compliance Location: New York, NY Description **Members Only** is one of the world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. 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
Summary Company 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