contracts related to the company's ETF and mutual fund... distribution business. - Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: BDC (Business Development Company) Compliance Officer 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. Oversee and review the work...
The following jobs are no longer active but were real openings previously posted by employers.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.
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Note: This job is no longer active.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 (1940 Act Attorney) The candidate... will support firm continued growth. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are prepared timely and accurately. Ensure client satisfaction and resolve issues. Ensure deliverables are prep... 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 (1940 Act Attorney) The candidate... will support growth, specializes in the Investment Company Act of 1940.... Adept at... interacting with management, external counsel and clients. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are 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
Assistant 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
HERE ## Associate Counsel **Location:** Portland, ME, United States **Date Posted:** Apr 20, 2023 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
Loan Specialist The candidate will manage a loan pipeline from origination through to settlement and funding in accordance with Bank policies and procedures. Provides documentation and Bank policy and procedure guidance to all lending areas. Orders various loan documentation and searches, as necessary. Updates Exception report weekly. Verifies all quality control procedures are maintained and monitored. Majority of loans handled are standard, non-complex in nature... 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 Director - Investment Advisory The candidate will... provide investment advisory compliance coverage for... company's Personal Wealth Management (PWM)... and company's Personal Investments (PII) activities... operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser regulations,... Group's fiduciary... policy, and other relevant Group policies.... 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
Distribution Strategy Compliance and Regulatory Oversight Group Manager The candidate will be part of the Distribution Strategies leadership team and responsible for creating strategy and ensuring seamless execution of key regulatory priorities. Will also be responsible for meeting compliance requirements determined by the Americans with Disabilities Act. Manage and provide leadership... of ADA compliance oversight and OCC approval process for Distribution Strategy function in... 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
Head Of Trust And Safety The candidate will perform duties : Develop a best-in-class global team capable of mitigating threats to the firm’s ecosystem 24/7 across all vectors; Enforce the firm’s Terms of Service and ensure a fair experience for all players; Create, monitor, and improve KPIs around fraud, payments and cheat prevention; Act as a cross departmental... expert and spokesperson for trust and safety concerns, delivering updates directly to the executive team; Drive th... 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
Administrative Assistant I Duties: Responsible for providing administrative, clerical support and general office functions as required by attorneys and staff. May handle the more complex administrative issues. Entrusted with highly confidential information and interfaces with Customers and staff on a daily basis in a timely and confidential manner. Prepares and/or composes correspondence and memoranda on pending legal matters; maintains department filing system. Coordi... 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