Title: 40 Act Attorney Job Responsibilities: The 40 Act Attorney at the company will be responsible for several key duties related to registered investment products, including privately offered business development companies (BDCs), non-traded BDCs, and non-listed real estate investment trusts (REITs). The...
Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel at the company will serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced and high-stakes environment. The primary responsibilities...
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...
business, including SEC, CFTC, FINRA, NFA requirements. - Advising on... activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters...
The following jobs are no longer active but were real openings previously posted by employers.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.
Services Paralegal Duties: Provides effective litigation support in all phases of the litigation process under the supervision of an attorney. Must have an understanding of tort, insurance and contract law as well as the rules of evidence and civil procedure, no-fault if applicable, and the rules of the road. Conducts legal research for attorneys. Assists in trial preparation including 1) scheduling of discovery, depositions and independent medical examinations; 2) pre... 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Note: This job is no longer active.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
Manager 3 The candidate will report to the Director of Regulatory Policy, the Rules Sourcing and Analysis Team Manager will ensure all new regulations, laws and corporate policies impacting the bank’s Advisors are captured, analyzed and tracked to conclusion/implementation. The Manager will also be expected to provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage). Will also be responsible for drafting comment letters... 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
In-House Securities Attorney The candidate will assist on SEC filings (10ks, 10Qs, 8Ks, etc.) offering matters including filings, ancillary agreements and day-to-day operations and issues, marketing material reviews, managing outside counsel regarding filings and liaison with outside counsel to have materials approved by the SEC and FINRA. Must be licensed attorney... with experience in public securities work with emphasis on real estate-related securities offerings. 5+ years 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
Manager 3 Candidate will provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage “WBRâ€). Will be responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. Will work with senior compliance and business management and may work with management committee members/heads of businesses to identify and assign responsibility for regulatory changes. Provide leadership;... 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
Manager III The candidate will provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage “WBRâ€). Will be responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. Will work with senior compliance and business management and may work with management committee members/heads of businesses to identify and assign responsibility for regulatory changes. Provide leade... 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
Manager 3 Duties: Ensure all new regulations, laws and corporate policies impacting firm are captured, analyzed and tracked to conclusion/implementation. Will be expected to provide support to complementary efforts within Wealth and Retirement. Will be responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. Will with senior compliance and business management and may work with management committee mem... 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
Litigation Paralegal The candidate will assist a staff of attorneys in defending litigation matters and FINRA securities arbitrations, including managing... document collection. Will be managing discovery. Assisting in trial preparation and presentation. Liaising with other litigation paralegals. Organize exhibits, documents and evidence; set up files and exhibits; prepare and issue subpoenas. Assist in witness prep. Been part of a trial or arbitration hearing team. Should pref... 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
Litigation Paralegal The candidate will assist a staff of attorneys in defending litigation matters and FINRA securities arbitrations, including managing... document collection. Will be managing discovery. Assisting in trial preparation and presentation. Liaising with other litigation paralegals. Organize exhibits, documents and evidence; set up files and exhibits; prepare and issue subpoenas. Assist in witness prep. Been part of a trial or arbitration hearing team. Should pref... 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
Manager III The candidate will provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage “WBRâ€). Responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. Work with senior compliance and business management and may work with management committee members/heads of businesses to identify and assign responsibility for regulatory changes. Provide leadership; promot... 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 be offering matters, including filings, ancillary agreements and day-to-day operations, marketing material review, managing outside counsel regarding filings and liaising with outside counsel to have materials approved by the SEC and FINRA. Must have 5+ years... experience.... 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