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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...
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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Compliance Director - Investment Advisory The candidate will provide investment advisory compliance coverage for company's Personal Wealth Management (PWM) and company's Personal Investments (PII) activities operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser... regulations, Group's fiduciary policy, and other relevant Group policies.... 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Note: This job is no longer active.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
Mutual Fund Law The candidate responsibilities will include: Provide advice to retail and institutional sales and marketing teams on matters related to the distribution of the company's products. Review distribution-related agreements for retail channels, including selling agreements, networking agreements and business agreements. Review distribution and service-related agreements for institutional channels, including recordkeeping and platform agreements. Work wit... 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 Counsel- Funds Management Duties: Will provide legal advice and support to the company's financial group business segments, including SEC-registered investment adviser, that are responsible for providing investment management services to proprietary mutual funds and separate accounts. Providing legal support to the proprietary mutual funds, including advice regarding fund operations and fund board matters, your primary focus is on the requirements of the Investme... 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 Paralegal Funds The candidate will provide paralegal support to attorneys and business personnel who advise and support the proprietary mutual funds of Financial Group and the affiliated service providers to those funds, including the SEC-registered investment adviser to the funds. Will be maintaining and updating disclosure documents for the funds with the SEC in accordance with the Investment Company Act of 1940, drafting and updating routine... contracts with service... 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
Seeking an Associate with 3-5 years of investment management experience. Position involves counseling top tier mutual fund, hedge fund, investment management and securities firms on regulatory issues, development of new products and services and registration, enforcement, corporate and transactional matters. Must have experience with Investment Company Act of 1940, Investment Advisers Act of... 1940, other federal securities laws... and SRO rules. Pennsylvania Bar admission is need... 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 firm, SEC or FINRA experience. Must have an interest in broker-dealer, securities markets, and investment adviser regulatory matters, as well as contract or corporate finance experience, experience with exchange traded funds (ETFs), SEC reporting, and with the following securities laws: the Securities Act of 1933, the Securities... Exchange Act of 1934, and the... Investment Advisers Act of 1940. Position involves... counseling top-tier... securitie... 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 Investment Management Associate with 3-5 years of law firm, SEC or industry experience in investment management. Must have familiarity and demonstrated experience with the Investment Company Act of 1940, Investment Advisers Act of... 1940, other federal securities laws... and SRO rules. PA Bar 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