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Investment Banking Compliance Attorney Jobs

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SPONSORED JOB
Company
Wells Fargo
Experience
Min 4 yrs required
Location
Wayne, NY
Posted Date
Oct 16,18
Info Source
Total Views
1
compliance Manager 4 - Head... the enterprise and Wholesale compliance program across all functional... key enterprise and Wholesale compliance program elements with respect compliance continued compliance with US banking regulations administered by the...... read more
SPONSORED JOB
Company
Wells Fargo
Experience
Min 4 yrs required
Location
White Plains, NY
Posted Date
Oct 16,18
Info Source
Total Views
2
compliance Manager 4 - Head... the enterprise and Wholesale compliance program across all functional... key enterprise and Wholesale compliance program elements with respect compliance continued compliance with US banking regulations administered by the...... read more
SPONSORED JOB
Company
Wells Fargo
Experience
Min 4 yrs required
Location
Redwood City, CA
Posted Date
Oct 16,18
Info Source
Total Views
2
compliance Manager 4 - Head... the enterprise and Wholesale compliance program across all functional... key enterprise and Wholesale compliance program elements with respect compliance continued compliance with US banking regulations administered by the...... read more
Company
In-House
Experience
Location
Chicago, IL
Posted Date
Oct 09, 18
Info Source
Employer
Total Views
7
work extensively with the Investment Team through all aspects... of the investment process, with particular focus... legal support to the Investment Team on both specific... Work with the Investment Team on structuring, negotiating... affect the company and investment process ... investment... read more
Company
In-House
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
27
Counsel - Corporate and Investment Bank, Custody and Fund... equivalent. Must be in compliance with all relevant licensing... requirements including the requirements of the jurisdiction where the role will be located prior to commencement of employment. Ability to understand the... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
62
of Legal, Corporate Tax, Compliance, Supervision and Risk to... address day to day questions and other issues. Provide Legal coverage of regulatory change implementation. Assist in the development of policies, procedures, systems and training materials. Advise on resolution of disputes... read more
Company
In-House
Experience
Min 5 yrs required
Location
Columbus, OH
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
61
of Legal, Corporate Tax, Compliance, Supervision and Risk to... address day to day questions and other issues. Provide Legal coverage of regulatory change implementation. Assist in the development of policies, procedures, systems and training materials. Advise on resolution of disputes... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
4
needs in commercial and investment banking, retail banking and... expertise, in-depth knowledge of investment management legal issues, including... regulations and guidance on investment advisory issues, regulatory experience,... documents, including side letters, investment management agreements, service agreements,... understanding Knowledge of investment management legal issues, including... investment... read more
Company
In-House
Experience
Min 5 yrs required
Location
Chicago, IL
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
48
of Legal, Corporate Tax, Compliance, Supervision and Risk to... address day to day questions and other issues. Provide Legal coverage of regulatory change implementation. Assist in the development of policies, procedures, systems and training materials. Advise on resolution of disputes... read more
Company
In-House, T. Rowe Price Group, Inc.
Experience
Location
Owings Mills, MD
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
10
mission as a leading investment management firm is to... material drafting, responding to compliance-related questions, and consulting on... funds subject to the Investment Company Act of 1940... and maintaining legal and compliance policies relating to Sub... compliance agreements relating to the banking relationships of the T....... read more
Company
In-House, Atlas Oil Company
Experience
Location
Taylor, MI
Posted Date
Oct 09, 18
Info Source
Employer
Total Views
30
Attorney private equity, real estate investment and lending and technology... investors, registration rights agreements, investment management agreements, shareholders agreements,... subscription agreements, and other investment-related documents. Review, draft... that the organization maintains compliance with law, best business... maintenance of a contract compliance system, including establishing a...... read more
Company
In-House
Experience
Min 4 yrs required
Location
Chicago, IL
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
8
Counsel - Wealth Management, Investment Solutions The candidate will... and support to the Investment Solutions business team, with... Bank regulatory issues impacting investment advisers. Will advise the... issues relevant to discretionary investment, asset allocation and due... resolve issues impacting the Investment Solutions business. Coordinate as... investment... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
98
Assistant General Counsel - Investment Management / Mutual Funds... provide advice to registered investment advisers (“RIAs”) on new... proprietary and third-party private investment fund activities. Provide advice... WISD relating to the investment of fiduciary and non-fiduciary... WISD business lines on investment-related matters and regulatory requirements.... investment... read more
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