the company's ETF and mutual fund distribution business. -... 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,...
on investment management matters for various product offerings including Mutual Funds, ETFs, Collective Funds,... Private Funds, Separately Managed... Accounts, Institutional Separate Accounts, and Local Government Investment Pools. This includes support with investment management agreements, Form ADV disclosures, and portfolio transa...
The following jobs are no longer active but were real openings previously posted by employers.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.
SVP, Compliance Director - Funds The candidate will be... for implementation of the mutual fund compliance program to... ensure its regulatory and fiduciary obligations are met. Serve as the Chief Compliance Officer (“CCOâ€) of company Mutual Funds and the company... Advantage... Funds (the “Fundsâ€). Reports to... the Board of Trustees of the Funds’ and to the company Chief Compliance Officer. Ensure development, enforcement, administration and ongoing maintenance of t... 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Note: This job is no longer active.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 Examiner The candidate’s major duties will be: Perform periodic compliance monitoring and testing of policies and procedures governing investment management, or broker/dealer, Investor Services and third-party transfer agent functions and report findings and recommendations or resolution to Compliance Officers. Monitor foreign accounts and off-shore funds for compliance with applicable... policies, procedures, rules and regulations. Assist in the development of com... 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
SAR Investigator - Legal The candidate will mitigates risk and handles legal affairs to ensure the security of the company and its clients. Will investigate suspicious activity as required under the Bank Secrecy Act and USA PATRIOT Act, including AML/BSA issues, insider abuse, and financial fraud; research and analyze account activity, including all forms of funds transfers; research open source... information (., Internet and Lexis), closed source databases, and internal cl... 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: Provides paralegal assistance to senior attorneys within the Dreyfus Legal Department in furtherance of an array of business line objectives (investment management, executive, and sales and marketing) and in support of a broad range of mutual fund regulatory and administrative... requirements (pursuant to the Investment Company Act of 1940) on behalf of The Dreyfus Family of Mutual Funds. Also provides significant... work in drafting, negotiating, and main... 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
Paralegal Supervisor The candidate will identify appropriate paralegal to handle the tasks based on expertise and experience. Will work closely with Managing Counsels in Pittsburgh and New York on the day-to-day workflow and running of the Paralegal staff, while serving as the primary liaison to attorneys, employees and outside counsel. Ensure paralegals are assigned to appropriate teams and/or Mutual Fund groups. Step in... when additional help is required at peak times by tem... 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
Paralegal Senior Duties: Provides paralegal assistance to senior attorneys within the Legal Department in furtherance of an array of business line objectives (investment management, executive, and sales and marketing) and in support of a broad range of mutual fund regulatory and administrative... requirements (pursuant to the Investment Company Act of 1940). Provides work in drafting, negotiating, and maintaining a range of contractual and related type arrangements. Significant... 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
Paralegal Responsibilities : The candidate provides paralegal assistance to senior attorneys within the company's Legal Department in furtherance of an array of business line objectives (investment management, executive, and sales and marketing) and in support of a broad range of mutual fund regulatory and administrative... requirements (pursuant to the Investment Company Act of 1940) on behalf of The Dreyfus Family of Mutual Funds. The incumbent also... provides significant work... 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
Paralegal Duties: Provides paralegal assistance to senior attorneys within the Legal Department in furtherance of an array of business line objectives (investment management, executive, and sales and marketing) and in support of a broad range of mutual fund regulatory and administrative... requirements (pursuant to the Investment Company Act of 1940) on behalf of Family of Mutual Funds. Provides significant work... in drafting, negotiating, and maintaining a range of contractual... 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
SR. PARALEGAL - OFFSHORE Responsibilities : The candidate will provide Board-related support for Federated’s offshore mutual funds and operating companies.​... Planning and attending pre- and post-meetings related board meetings. Tracking regulatory and special agenda items. Drafting agendas and providing reference materials to the board for meetings. Preparing monthly reports in accordance with UCITS requirements. Coordinating initial and annual questionnaires related to F... 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
Paralegal Responsibilities: Will assist attorneys in providing legal services to Asset Servicing lines of business, with a specific emphasis on the performance and risk analytics services provided to Asset Servicing clients and services provided to mutual fund clients. Assist attorneys... by conducting research on regulatory issues impacting. Asset Servicing clients and lines of business, in particular state securities law and SEC rules and regulations. Process requests from As... 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