Job Title: Private Client Advisor II Job Responsibilities: The Private... Client Advisor II at the company... is responsible for acquiring new clients, deepening client relationships, and building an internal and external network to achieve business development goals. Key responsibilities include leading...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed. This may also involve reviewing work conducted by Associates. - Participate in state money transmission license...
The following jobs are no longer active but were real openings previously posted by employers.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.
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Note: This job is no longer active.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
Assistant General Counsel – Managed Accounts Responsibilities: Will interact on a regular basis with senior product leaders, Compliance, Technology and Controls groups as well as with Legal colleagues. Provide legal advice regarding CWM's offering of discretionary fee-based investment solutions managed by Bank,... . as governed by OCC Regulation 9 and fee-based investment advisory solutions offered by... company's Securities LLC as a SEC registered investment advisor under 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
Senior Counsel The candidate will provide legal advice to the registered investment advisor and brokerage... businesses in the United States. Will support brokerage and investment adviser activity within the... US operations of company and subsidiary in the latter case supporting the distribution aspects of the company and institutional sales activities. Exercise independent legal judgment on investment management and broker dealer... regulatory and contractual issues, balanced again... 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- Securities Duties: Serving as legal counsel, will be responsible for providing legal counsel and support for a retail broker-dealer operation, Life Securities company and for the investment advisory operations of, ensuring... that the conduct of securities business in the home office and in the field is in accordance FINRA, SEC and applicable federal securities law, SEC rules and regulations, FINRA rules, other federal and state requirements, and wi... 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- Securities Duties: Serving as legal counsel, the incumbent will be responsible for providing legal counsel and support for a retail broker-dealer operation, Bankers Life Securities, Inc., and for the investment advisory operations of Bankers... Life Advisory Services, Inc., ensuring that the conduct of securities business in the home office and in the field is in accordance FINRA, SEC and applicable federal securities law, SEC rules and regulations,... 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- Securities Duties: Serving as legal counsel, the incumbent will be responsible for providing legal counsel and support for a retail broker-dealer operation, and for the investment advisory operations of Bankers... Life Advisory Services, Inc., ensuring that the conduct of securities business in the home office and in the field is in accordance FINRA, SEC and applicable federal securities law, SEC rules and regulations, FINRA rules, other federal and... 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 Counsel -Broker/Dealer Duties: Provide legal counsel to the registered investment adviser and retail... brokerage business in the United States. Supporting Financial Advisors, the retail broker dealer that is a registered investment advisor, and Investment... Distributors, an institutional broker... dealer engaged in the marketing and distribution of proprietary mutual funds. Will report to the Associate General Counsel, US Private Bank Group. Will exercise independent 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
Managing Director, Associate General Counsel - Regulatory Affairs The candidate will be responsible for helping firm meet its regulatory obligations, maintain constructive relationships with regulators, and promote firm’s reputation for integrity and excellence. Will oversee the regulatory and supervisory relationships for firm and Nuveen’s approximately 20 registered investment advisors, investment companies,... and broker-dealers. Manage regulatory exams, inquiries, and i... 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 interact with the EVP, General Counsel & Corporate Secretary. Will have visibility to other members of the legal department and executive management. Assist with our M&A activities from start to finish, including target analysis, due diligence, negotiation of acquisition and ancillary agreements, regulatory applications, SEC filings and closing and post-closing matters. Analysis and preparation of Board and Board Committee materials. 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
SUMMARY: We are seeking a transactional attorney with strong academic and professional credentials that include a minimum of 3 years of experience at a major law firm or an in-house legal department of a public company. The primary responsibility is to assist with our general corporate legal needs, including M&A, securities, corporate governance, board activities, subsidiary matters, general real estate, contract review and mor... 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