company's Consumer Bank. The role requires advising senior management and other stakeholders on a wide range of legal and compliance issues within the company's full-service wealth management business, which includes RIA, Broker-Dealer, and Trust offerings and... services. Key responsibilities...
concerning all aspects within the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including... Delaware trust) offerings and services. - Develop and support the implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regul...
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The following jobs are no longer active but were real openings previously posted by employers.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Note: This job is no longer active.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
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
Corporate Counsel Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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
Duties: Reports to Counsel, Legal and Compliance. Providing paralegal support specifically for the Managers Funds family of mutual funds. Affiliate Legal and Compliance Program team, the candidate will work closely with legal and compliance professionals at Managers and company, and will be actively involved in all aspects of the Funds' legal and regulatory matters. Be a key contributor to day-to-day Fund operations, will coordinate and assist in the production of... 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 Analyst The candidate will provide high-level assistance with legal and compliance requirements. Will work on synthesizing and documenting changing regulations and assisting with Training and Audits to ensure compliant operations of the Division's legal entities, which include an SEC Registered Investment Adviser, Registered Investment Company, Broker/Dealer and company's Trust and... Investment department. Assist with the annual supervisory and compliance pro... 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