Provide expert advice on securities law compliance, focusing on... 1933 Act and 1934 Act filings,... including Forms 10-K, 10-Q, 8-K, Section 16, and S-8. - Lead the preparation and review of the proxy statement and annual report. - Support corporate disclosure and...
The following jobs are no longer active but were real openings previously posted by employers.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: Ensure compliance with securities laws and NADAQ listing... requirements, and manage the preparation of reports under the Securities Act of 1933 and... the Securities Exchange Act of 1934.... Take a leading role in preparing SEC filings (., 8-K, 10-Q, 10-K, Proxy, Section 16 reports and, as needed, S-3 filings) and supporting other public company governance and compliance matters (., earnings release process, shareholders meetings, investor d... 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Note: This job is no longer active.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
Alternative 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Note: This job is no longer active.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
Financial Group is currently seeking candidates for the position of Corporate Counsel. We seek an attorney who will principally support our business units focused on investment related products and services that are delivered through our bank and its investment advisor and broker-dealer affiliates, including our consumer focused wealth advisory business. The candidate must be familiar with (a) bank cash management products and services, including money market mutual... 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
Privacy and Regulatory Counsel The candidate will creatively configure solutions and provide advice for sound product and marketing decisions in view of relevant legal and regulatory requirements and risks. Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: (1) the Securities Act of 1933, Securities... Exchange Act of 1934,... and other related investment-related statutes a... 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
Broker-Dealer Attorney Responsibilities: Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks. Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting principally the broker-dealer and, to a lesser degree, investment management and financial advisory industries, including: (1) Securities Act of 1933, Securities... Exchange Act of 1934,... and related... 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
Broker-Dealer Attorney Responsibilities: Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks. Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting broker-dealers, including: Securities Act of 1933, Securities... Exchange Act of 1934,... and related broker-dealer statutes and regulations; FINRA and MSRB rules and regulations; and 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
Counsel 2 - Asset Management Counsel Duties : Will provide substantive and practical legal advice on the application of a variety of laws and regulations, including the Securities Exchange Act of 1934,... Investment Advisers Act of 1940, Investment Company... Act of 1940, Securities Act... of 1933, Commodity... Exchange... Act and FINRA rules to... an investment management business. Identifying and analyzing complex legal issues arising with respect to distribution and strategic distribution-... 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 IV The candidate will provide legal counsel on all aspects of the mutual fund business, including overseeing the legal support for a complex of mutual funds, including creation, management, and termination of funds, support of the mutual board, and regulatory items related to the management of a mutual fund complex. Will also provide substantive and practical legal advice on the application of a variety of laws and regulations, including the Investment Company Act, 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
Corporate Legal Counsel – SEC The candidate will : Advise on a range of securities law issues and reporting... requirements including 1933 and 1934 Act and Nasdaq compliance. Design,... implement, and maintain best corporate governance practices for company’s Nasdaq-listed French parent company and subsidiaries. Assist with drafting proxy statements, annual report and quarterly filings. Assist in preparing Board of Director and Committee materials and minutes; maintenance of corpo... 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
Corporate Legal Counsel The candidate will advise on a range of securities law issues and reporting... requirements including 1933 and 1934 Act and Nasdaq compliance. Design,... implement, and maintain best corporate governance practices for 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