Job Title: Securities Legal Counsel Job Responsibilities: The Securities Legal Counsel... is responsible for providing... securities-focused legal counsel to support the registered... investment adviser (RIA) and related... client agreements, disclosures, and regulatory documents for RIA services. -... Providing legal counsel on the Advisers Act,......
Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities... include the interpretation and application of securities laws and regulations to provide guidance across various business units. The attorney will work directly with registered representatives and regulat...
The following jobs are no longer active but were real openings previously posted by employers.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.
Mid-Level Investment Funds Associate The... candidate must have a strong academic background with 4-7 years of experience. Must have experience with the establishment and representation of private investment funds and their advisers.... Must be admitted to practice in Georgia. Candidates must be admitted to practice in Illinois. Should preferably have strong experience with the establishment and representation of private investment funds and their advisers,... including both domestic... 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Note: This job is no longer active.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
Mid-level Investment Funds Associate The... candidate should have a strong academic background. Must have 4-7 years of experience. Should preferably have strong experience with the establishment and representation of private investment funds and their advisers,... including both domestic and international private equity, real estate, VC, and hedge funds. Experience with Advisers Act regulatory matters, representing institutional investors... in private funds, secondary transactions 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
Investment Management/Corporate Transactions & Securities... Associate The candidate should have 3-6 years of experience to join its national Investment Management practice. Should preferably... have 3+ years of experience working on matters in the investment management space involving securities,... investment advisers, hedge funds, broker... dealer regulatory work, and/or registered funds... or ETFs.... 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
Junior Investment Management and Real Estate... Capital Markets Associate The candidate should have a . degree. Must have 2-4 years of experience. Should preferably have 2+ years of strong experience with the establishment and representation of private investment funds and their advisers,... including both domestic and international private equity, real estate, VC, and hedge funds. Experience with Advisers Act regulatory matters, representing institutional investors... in private... 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 Enforcement Litigation Associate ... The candidate should have excellent academic records with 3-4 years of litigation experience to work in the regulatory enforcement area. Financial services... litigation, securities enforcement, arbitration, SEC, DOJ, FINRA and/or DOL experience would be particularly valuable. Regulatory experience specifically with the... SEC or FINRA would be a plus. Must have excellent writing, advocacy, and analytical skills and will be sought to 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
Counsel Under general supervision, the... candidate will provide legal counsel and advice on products,... services, and certain legal actions to operating areas; prepare and review legal contracts, documents and regulatory filings; conduct legal research;... and provide assistance on special projects. Will prepare board materials and presentations and create, review, and interpret legal policies and procedures. The position will assist the Associate General Counsel in executing 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
Counsel Under general supervision, the... candidate will provide legal counsel and advice on products,... services, and certain legal actions to operating areas; prepare and review legal contracts, documents and regulatory filings; conduct legal research;... and provide assistance on special projects. Will prepare board materials and presentations and create, review, and interpret legal policies and procedures. The position will assist the Associate General Counsel in executing 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
Senior Compliance Officer (Funds) The candidate will work with other team members to participate in the identification, implementation, resolution, and ongoing monitoring of compliance issues related to the managed funds provided by firm. Will develop, coordinate, and execute various compliance testing and monitoring initiatives for firm’s managed funds in such areas as: disclosures, trading, investment allocation, and marketing. Respond... promptly to detected offenses, deve... 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
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
Investment Management Associate The candidate... should have 3-6 years of experience representing investment companies and investment advisers... in entity formation and structure, operations and regulatory issues including; federal securities... filings, fund mergers and compliance issues. Large law firm experience preferred. Excellent academic background and work history required.... 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