Title: Of Counsel - Investment Management - Financial Institutions Job Responsibilities: The Of Counsel position within the Investment Management - Financial Institutions practice group at the law firm involves a variety of sophisticated legal and regulatory responsibilities. The successful candidate will: - Provide...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Title: Associate Counsel – Third Party Distribution Job Responsibilities: - Provide legal advice and representation on matters related to the company's business activities and investment products. - Prepare resolutions and participate in major legal actions. - Liaise with the business on strategic issues 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The following jobs are no longer active but were real openings previously posted by employers.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.
of Compliance - RIA The candidate will be responsible for oversight of the RIA's for the companies and will provide service to multiple organizations under the company umbrella of companies. Will assist the CCO in the development and maintenance of effective and efficient compliance programs, partnering with other support groups such as sales, operations, technology, and risk management to achieve effective processes and controls. Report to firm's Chief Compliance O... 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Note: This job is no longer active.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. Director of Compliance - RIA The candidate will be responsible for oversight of the RIA's for the companies and will provide service to multiple organizations under the company umbrella of comp... 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 Compliance- RIA Duties: Responsible for oversight of the RIA's for the group companies and will provide service to multiple organizations under the Lincoln umbrella of companies. Assist the CCO in the development and maintenance of effective and efficient compliance programs, partnering with other support groups such as sales, operations, technology, and risk management to achieve effective processes and controls. Reports to firm's Chief Compliance Officer and wi... 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
Summary Company Lincoln Investment Planning, ; Location Wyncote, PA 19095 Industries Financial Services Job Type Full Time Employee Years of Experience 5+ to 7 Years Education Level Bachelor's Degree Career Level Manager (Manager/Supervisor of Staff) Job Reference Code Comp Adv- IA- 10/2011 Compliance Advisor- Investment Advisor About the Job Basic Function: Position involves responsibility for all investmen... 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, Investment Adviser The candidate will be responsible for all investment advisory compliance for a SEC registered investment advisor. Will report to Chief Compliance Officer and will work closely with the Advisory Sales Department. Responsible for assisting the CCO in the establishment, maintenance and enforcement of the rules and regulations of the Investment Advisers Act of 1940, ERISA, DOL, fiduciary law.... Responsible the implementation of the firms inve... 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
Vice President, Investments Counsel Duties: Will provide support to Penn Mutual and its affiliates as a member of the Law Department, reporting to the Chief Legal Officer. Will primarily provide counsel to company's wholly owned subsidiary, company's Asset Management, a registered investment advisor and advisor to Penn Mutual, including surrounding the investment portfolios of company and its insurance affiliates. In addition to other, this role will support genera... 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. Director of Compliance- RIA Duties: Responsible for oversight of the RIA's for the group companies and will provide service to multiple organizations under the Lincoln umbrella of companies. As... 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
1940 Act Associate The candidate... must have 3-5 years of strong experience in investment funds and registered investment advisers. Book of business is required. NY Bar admission is 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
Seeking an Associate with 3-5 years of 1940 Act and general corporate... experience. ETF experience desired, and variable insurance product experience a plus.... 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
Seeking an Associate with 4-6 years of investment management experience. Must have a solid background in the Investment Company Act of 1940, the Investment Advisers Act... of 1940, the Securities Act of... 1933, the Securities Exchange Act of 1934, and related... regulations. Experience representing registered investment companies and investment advisers, including the preparation and review of registration statements, board meeting materials, and investment management and advisory ag... 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