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Wealth Management Compliance- CCO for Consulting Group Capital Markets Funds
Duties: Provide a wide range of services to our business units. Help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. Preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the worl...
The candidate will be a lead lawyer for a small team which will be primarily responsible for providing legal advice to the US enterprise under the Federal securities laws in connection with the issuance and maintenance of variable annuities and other variable insurance products. Responsible for drafting and filing SEC registration statements for variable annuity and life products and for providing day-to-day legal advice to the business people who administer ...
Junior Capital Markets Attorney
The candidate will Lawyer to support Company’s Wealth Management’s Capital Markets, Research, Strategy and Corporate Equity Solutions businesses. Will specifically, the attorney will assist other team members in supporting equity and fixed income securities new issue distribution, sales and secondary trading stock plan and restricted stock transactions and research and will be located in Midtown Manhattan (a possibility of working out of...
Regulatory Counsel (Americas) - Risk Management Group
The candidate will provide legal, advice, counsel and support to management and all impacted businesses in regard to regulatory compliance with financial product regulations with emphasis on CFTC, SEC, and Canadian over-the-counter derivative regulations, including their cross-border impact. Will report to the ORC Managing Regulatory Counsel. Monitor and track relevant new, amended and proposed financial product/derivat...
The candidate must have excellent academic credentials.
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Senior Associate, Independence
The candidate's responsibilities: Acquire knowledge related to auditor independence regulations, including those established by the Securities and Exchange Commission (SEC), Public Company Accounting Oversight Board (PCAOB), and American Institute of Certified Public Accountants (AICPA); Function as technical writer, instructional designer, and/or content developer; Create and edit content for training programs, policy documents/guides, and i...