Job Title: Private Client Advisor II Job Responsibilities: - Lead the... client management process (CMP) within the client team to identify new business development opportunities. - Source new clients in alignment with the established risk appetite. - Lead the client team to deliver meaningful...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
The following jobs are no longer active but were real openings previously posted by employers.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.
Corporate Counsel Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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Note: This job is no longer active.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 Manager RA The candidate will lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor... Representatives. Correspond with various... regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and/or state regulatory agencies. Lead the team 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
Assistant General Counsel - Broker Dealer The candidate will act a primary legal counsel for company's Investment Services (IS), an SEC/FINRA... registered broker/dealer and 50-state licensed... insurance agency which actively operates in 14 states. Will engage with PWM/IS Leadership and provide timely and accurate legal advice, in addition to practical assistance, to Compliance, Risk Management and Audit teammates. Compressively support IS's response to all new requirements impos... 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
Chief Compliance Officer Investment Advisor (CCO IA) The... candidate will be responsible for compliance with SEC rule 206(4)-7 of the Investment Advisers Act of 1940,... FINRA rules, state securities laws, and related securities/ERISA/insurance regulations for all Corporate Registered Investment Advisers within Advisor... Group.... Will work closely with senior business management, marketing, operations, sales support, supervision, internal and external auditors; interact as needed wit... 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 Advisor - Team Lead (Surveillance... and Data Analytics) The candidate will lead a team to achieve efficient, timely, and cost-effective policies for the business unit to ensure compliance with state and federal laws and regulation affecting business unit products and services. Will provide comprehensive analysis and guidance on complex compliance issues and develop innovative solutions to meet internal and external customer needs. Research and share legislative, reg... 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
Chief Compliance Officer, Investments The candidate responsible for developing and monitoring broker dealer, RIA and Insurance compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff; and reviewing prospectuses, applications, and advertising materials. It is also ex... 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
Assurance Advisor - Assurance (FIDS) (Manager)... The candidate will assist clients in performing fraud and forensic investigations through the use of technology, expert witness services, and financial, economic, and statistical analyses. Advise clients on understanding and managing fraud risk. Examine and evaluate financial and information systems, recommending controls to ensure system reliability and data integrity. Investigate alleged misconduct, measure the financial impli... 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
Regulatory Affairs Compliance Analyst The candidate support the network of group broker/dealers and registered investment advisers with regulatory... and customer complaint matters. Receive, investigate, and respond to customer complaints and/or allegations of potentially inappropriate activities by the firm’s associated registered representatives and Investment Advisor... Representatives. Reviews will include... an analysis as to whether relevant firm policies and procedures and reg... 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 Counsel and Compliance Associate The candidate will be responding to legal inquiries for a rapidly growing registered investment advisory firm. Assist... CCO in reviewing and negotiating a wide range of legal documents, including vendor contracts and client agreements. Help develop template client agreements. Assist in responding to requests from internal and external sources, including advisers, regulators, and clients on a wide variety of legal topics, including comp... 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
Private Client Advisor II Duties: Act... as trusted financial advisor to, and advocate for,... clients and prospects; provide integrated recommendations that encompass multiple products and services as needed. Develop in-depth understanding of clients' needs, preferences and overall wealth; be responsive to changes in the business environment or client needs. Effectively manage a book of relationships and act as relationship lead accountable for the client's experience. Leverage... 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