with legal advice and representation concerning the company's business activities and investment products. The responsibilities include: - Acting as a subject matter expert and advising business leaders on legal issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. Ensu...
and fastest-growing accounting and advisory firms in the industry.... Your responsibilities will include: - Assisting with IRS examinations and appeals, including responding to Information Document Requests, Notices of Proposed Adjustments, and preparing appeals protests. - Helping to prepare penalty ab...
Overview: A nationally recognized law firm is seeking a Regulatory Associate Attorney to join its Litigation and Financial Regulatory practice in Charlotte, NC. This position focuses on federal banking regulatory matters, including compliance and policy matters, and will offer immediate...
The following jobs are no longer active but were real openings previously posted by employers.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.
Senior Benefits Advisory and Compliance Consultant Duties:... Developing new business, leading and delivering large, strategic client engagements and serving as strategic advisor to multinational clients concerning their compliance and broader retirement/benefits issues. Will be making a valuable difference every day to our high-profile client organizations. Will have primary accountability for creating and executing a business strategy to penetrate the local and regional marke... 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Note: This job is no longer active.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
Anti-Money Laundering (AML) & Regulatory Compliance Consulting Director Responsibilities: Assist in managing financial strategy planning, development, execution and achievement of defined financial plan objectives. Serve as a key “market-facing” member of our team by leading growth activities for Risk Advisory Service offerings with specific... emphasis on AML and regulatory compliance services. Promote cross selling and integration of service lines of business. Lead efforts 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
Analyst Senior Duties: Tracks, reviews and communicates pending and passed US federal regulations, agency guidelines or directives to impacted business units to ensure ongoing product compliance. Works with development groups to review and approve project requirements and design documents that pertain to or impact regulatory compliance and assists in setting priorities for regulatory issues that must be addressed by the business. Responds to internal and external... 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
Manager 5 / Investment Adviser / Investment Company Acts Duties: Lead a team of subject matter experts to provide support and oversight of activities subject to the Investment Advisers Act and the Investment Company Act in various LOBs, and drive improvement of the enterprise-wide program, including, for example, ensuring that policies, procedures and controls are appropriately designed, documented, implemented, monitored and tested, and driving effective risk m... 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
SVP, Advisory Compliance Duties: Serve... as a senior leader in the Governance, Risk & Compliance business unit and is responsible for the coordination and execution of substantive and varied risk management functions within Advisory Compliance. Reporting to the... EVP and Chief Compliance Officer of Advisory Compliance, will lead several... departments within the Advisory Compliance organization, assume a... lead role in responding to regulatory inquiries, special project management,... 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 Officer I Duties: Serve as the Chief Compliance Officer to provide registered investment advisory and plan management services... to 11 state-sponsored 529 plans. Will provide compliance coverage for mutual fund distribution activities. Identify issues resulting from internal and/or external compliance examinations; work with the business unit(s) to resolve issues and oversee the remediation of deficiencies; assists in the preparation and review of policies, proced... 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
of Regulatory Compliance Consulting – Southeast Leader Duties: Assisting clients in managing operational, financial, and technology risks as well as designing and implementing process improvements that can lead to increased value, revenue, or cost containment. Help clients understand and address clients' enterprise regulatory risk. Work with Partners, Directors, and business development professionals to increase opportunities for delivering regulatory compliance... 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- AML Advisory Head, Global International Personal... Banking (IPB) Duties: Reporting line will be into Global Head of Consumer AML Advisory. . Provide oversight for... the AML compliance program across the Global IPB businesses. Provide AML-related advice to the Global IPB businesses, ensuring AML standards are understood and implemented appropriately. Provide subject matter expertise to the IPB businesses in designing, building, and implementing comprehensiv... 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
VP, Governance, Risk & Compliance Duties: Serve as a senior leader in the Governance, Risk and Compliance department and is responsible for the coordination and execution of substantive and varied risk management functions within Advisory Compliance. Reporting to the... EVP and Chief Compliance Officer, Advisory, this individual will lead... the implementation and enforcement of firm policies related to the Investment Adviser's Act of 1940 for the corporate investment advisor an... 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 Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Compliance Manager 5 / Investment Adviser / Investment Company Acts Duties: Lead a team of subject matter experts to provide support and oversight of activities subject to the Investment Advise... 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