Research and provide legal advice to the company’s business concerning FINRA regulatory and broker-dealer compliance... issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms, conditions, and other pertinent information. - Keep updated on regula...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of clients...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Participate in mock regulatory examinations and compliance program reviews. - Assist with policy and procedure reviews, drafting reports, and creating manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to...
The following jobs are no longer active but were real openings previously posted by employers.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.
Scope: The practice group manages and handles complex government enforcement investigations across all lines of business, including the retail and corporate banks, the asset management group, and the mortgage company. The lawyer who will fill this position will also provide legal... 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Note: This job is no longer active.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
Senior Paralegal DUTIES: Provide senior level Paralegal registered fund regulatory services to Federated legal staff and business units, outside counsel and clients to meet requirements of the SEC, FINRA, and other registered fund... regulators. Working with internal and external counsel, Federated business units, Legal Services and Legal Department management, prepare and review regulatory documents required for the creation and maintenance of registered funds, ensuring they... 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
Senior Paralegal DUTIES: Provide senior level Paralegal registered fund regulatory services to Federated legal staff and business units, outside counsel and clients to meet requirements of the SEC, FINRA, and other registered fund... regulators. Working with internal and external counsel, Federated business units, Legal Services and Legal Department management, prepare and review regulatory documents required for the creation and maintenance of registered funds, ensuring they... 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
Counsel III The candidate will provide legal advice to company's lines of business, as well to the Compliance, Ethics and Audit Departments, in the context of regulatory examinations and other informal inquiries. May be assigned particular business areas as primary areas of focus. Will manage and handle complex government enforcement investigations and proceedings brought by federal, state and local agencies and regulators across all lines of business, including the 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
- Investment Management Duties: Provides general legal counsel to AMGs investment management business as well as specific advice on products services and certain legal actions. Reviews legal contracts and documents. Directly or through staff conducts legal research. May represent the bank in legal actions. Will lead a team ( attorney, paralegal) dedicated to supporting company's alternative investment businesses and will be responsible for providing strategic, regul... 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 - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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
Counsel The candidate will manage and handles complex government and regulatory enforcement actions and internal investigations across all lines of business, including the retail and corporate banks, the asset management group, and the retail and institutional broker dealers. Will support the AML/BSA and Enterprise Compliance functions, as well as provides day-to-day advice to the lines of business. Expertise handling government and regulatory enforcement actions that... 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
Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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
Counsel (ERISA) - Asset Management Group The candidate will be a part of the legal team supporting the firm's Asset Management Group (AMG). Will be responsible for providing legal advice to senior management, client-facing teams, and operational personnel. Work closely with industry groups on legislative and regulatory developments affecting AMG’s activities. Primarily responsible for providing legal advice to internal business partners on ERISA and the Internal Reven... 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
Advertising Review Specialist The candidate will review advertising literature and other sales materials to comply with applicable regulations. Review Annual and Semi-Annual Reports to ensure that Investment Reviews and President’s Messages are in compliance with applicable regulations. Liaise with marketing department in developing and revising advertising/sales literature/sales materials and executing follow-up to FINRA comments to ensure compliance,... as applicable. Coord... 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