the company's Wealth Management business. - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the company's full-service wealth management business, which includes RIA, Broker Dealer, and Trust offerings... and services....
in New York, NY or Chicago, IL. The successful candidate will join a team specializing in insurance laws, regulations, and corporate transactions, providing strategic counsel to industry on fund formation, investment management, and broker-dealer mergers, acquisitions, and... restructurings....
The following jobs are no longer active but were real openings previously posted by employers.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.
Front Line Risk Manager The candidate will support the Senior Director, Front Line Risk in carrying out the duties of the Front Line Risk function. Will handle coordination of the Front Line Risk function with business partners, compliance, internal audit, and external regulators. Partners with business unit management to oversee and manage all aspects of risk and assess, on an ongoing basis, the material risks associated with its activities, determining if actions ne... 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Note: This job is no longer active.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
Estate Paralegals The candidate will be responsible for the preparation of the final HUD and closing package, contacting the borrower to review the HUD and advising of any funds due at the time of closing. Puts packages in Stacking order; Reviews packages for accuracy, that the documents are signed and dated correctly, that the notary filled in their sections, signed and stamped or sealed their signatures ; Handles any issues that arise/ follows up on any outstanding is... 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Note: This job is no longer active.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
Estate Paralegals The candidate will be responsible for the preparation of the final HUD and closing package, contacting the borrower to review the HUD and advising of any funds due at the time of closing. Puts packages in Stacking order; Reviews packages for accuracy, that the documents are signed and dated correctly, that the notary filled in their sections, signed and stamped or sealed their signatures ; Handles any issues that arise/ follows up on any outstanding is... 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
Front Line Risk Manager The candidate will support the Senior Director, Front Line Risk in carrying out the duties of the Front Line Risk function. Will handle coordination of the Front Line Risk function with business partners, compliance, internal audit, and external regulators. Partners with business unit management to oversee and manage all aspects of risk and assess, on an ongoing basis, the material risks associated with its activities, determining if actions ne... 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
Front Line Risk The candidate will oversee and manage all aspects of risk and assess, on an ongoing basis, the material risks associated with Non Deposit Investment oversight, determining if actions need to be taken to strengthen the risk framework or reduce risk given performance against the Banks risk profile and tolerances. Responsible for developing and maintaining an effective end to end risk management program including control effectiveness measures for Bank... 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
Front Line Risk Manager The candidate will handle coordination of the Front Line Risk function with business partners, compliance, internal audit, and external regulators. Developing and maintaining an effective end to end risk management program including control effectiveness measures for one or more complex segments of the business /capability groups and client and industry infrastructure. Serving as a technical expert on multiple business processes or regulatory 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
Front Line Risk Manager The candidate will handle coordination of the Front Line Risk function with business partners, compliance, internal audit, and external regulators. Developing and maintaining an effective end to end risk management program including control effectiveness measures for one or more complex segments of the business /capability groups and client and industry infrastructure. Serving as a technical expert on multiple business processes or regulatory 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
Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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
VP, Chief Compliance Officer, Investments The candidate responsible for developing and monitoring broker dealer, RIA and Insurance... compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff; and reviewing prospectuses, applications, and advertising materials. It is also ex... 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
Director Compliance Duties: Design and implement an effective, risk-based broker dealer testing program for... Pruco, PIMS and PAD to assist in detecting and preventing violations of, and achieving compliance with, applicable securities laws and regulations, and with appliable FINRA rules; meeting requirements for branch office inspections. In collaboration with Business Unit Compliance, design and implement an effective, risk-based Separate Accounts SEC 38a-1 testing program.... 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