Title: VP, Wealth Management Advisory Attorney Job Responsibilities: - Provide day-to-day legal support for Company's Wealth Management's investment advisory business. - Offer legal analysis and advice regarding applicable rules, regulations, and legal risks related to fiduciary standards of care, trading, best execution, trade...
Title: Alternative Investment & Private Markets Attorney Job Responsibilities: The Alternative Investment & Private Markets Attorney will join Company’s Wealth Management Legal and Compliance Division as a Vice President. The primary responsibilities include providing legal coverage for the Alternative Investments and...
Title: Paralegal (Associate) Job Responsibilities: The Paralegal (Associate) at the company will be part of the in-house Legal team supporting the corporate and funds distribution group. The role involves various responsibilities that include: - Drafting, reviewing, and maintaining investment fund distribution agreements, placement...
Title: Senior Legal Counsel Job Responsibilities: - Serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced environment. - Act as a trusted advisor and subject matter expert, delivering sophisticated legal...
Research and provide legal advice to business regarding FINRA regulatory and broker dealer... compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and other information. - Keep abreast of regulatory developments that impact...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel is a key member of the Legal Risk Sustainability Compliance (LRSC) Team at the company, specifically supporting the company’s real estate investment funds. The role involves: - Advising...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team at the company, serving as the in-house counsel for the company's real estate investment funds....
Title: Director, Counsel - Cash Management Job Responsibilities: The Director, Counsel role at the company is positioned within the Legal Department and is focused on supporting the Cash Management System business. The key responsibilities of this position include providing legal advice and...
spotting and application of federal securities laws affecting retail investment advice, including Regulation Best Interest, the Investment Advisers Act, FINRA rules, and state securities... regulations. - Conduct legal, factual, and benchmarking research and prepare summaries of risk/legal analysis. - Re...
Title: Executive Director, Assistant General Counsel - Asset Management Job Responsibilities: The Executive Director, Assistant General Counsel - Asset Management at the company is tasked with providing comprehensive legal coverage and oversight for the company's affiliated . investment adviser. This leadership role...
Title: Associate General Counsel - Wealth Job Responsibilities: The Associate General Counsel will be responsible for providing comprehensive legal guidance to the senior management and business operations of the Wealth Management Division at the company. The role involves advising on a wide...
Title: Wealth Management Attorney - Vice President, Assistant General Counsel Job Responsibilities: - Serve as a primary legal contact supporting the company’s broker-dealer and investment advisory products, services, and sales channels for retail businesses. - Advise on a wide range of projects and...
President – . Markets Investment Banking Compliance Advisory Apply remote type On Site locations New York, New York time type Full time posted on Posted 23 Days Ago time left to...
is Hiring an Associate Director of Compliance **Members Only** is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers,...
ensure adherence to SEC, FINRA, and company regulations and... guidelines. - Attend alternative investments team meetings to foster relationships and track product launches in the pipeline. - Apply supervisory experience to consult/advise on marketing strategy and campaign development. - Assist in developing and...
Title: Broker Dealer Marketing Compliance Job Responsibilities: - Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on regulations,...
Title: Equity Derivatives Contract Negotiator Job Responsibilities: - Negotiate a diverse array of trading agreements such as ISDA Master Agreements, Master Confirmation Agreements (MCAs), bespoke equity confirmations, Futures & OTC Clearing agreements, Cleared Derivative Execution Agreements (CDEAs), MSFTAs, Collateral Control Agreements (CCAs),...
Title Senior Legal Counsel Job Responsibilities The Senior Legal Counsel will be part of the Workplace Investing (WI) legal team at the company, where they will play a pivotal role in advising the defined contribution plan recordkeeping, administration, trust, and institutional...