Attorney-O'Flaherty Law Location: Quad Cities Metro area: Davenport and Bettendorf, IA - Moline and Rock Island, IL (Hybrid/Remote due to in-person court appearances) O’Flaherty Law is a rapidly growing, client-centered law firm known for its dynamic and collaborative team located in the Ceadar Rapids, Iow...
The following jobs are no longer active but were real openings previously posted by employers.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.
Operations Compliance Officer The candidate will manage a staff of Compliance Managers/Directors and professionals at one or more division offices to ensure that the division is in compliance with all Federal and State requirements, including insurance and/or securities laws where applicable, regulations... and the rules of self-regulatory and industry ethical standards organizations and Company/Division Compliance Policies. Will perform regular assessments to ensure that the d... 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Note: This job is no longer active.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 Workplace Compliance The candidate will lead company’s Workplace Solutions Compliance unit. Will lead these compliance programs related to matters impacting the retirement and voluntary benefits business. Perform regular assessments to ensure that the business line's policies and procedures meet applicable Company and industry standards for ethical market conduct. Partner with the business leaders, providing advice and guidance on compliance matters and mitigation st... 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Note: This job is no longer active.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
Securities Attorney The candidate will... support legal issues and regulatory matters related to a registered investment advisor, a wholesale registered broker/dealer, a trusted company, and exempt and registered investment products for the Workplace Division. Will require working closely with the operations, advice, sales, marketing, and product development teams on the application of federal and state law and regulation and SEC, DoL, and FINRA rules as they relate to the reti... 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 Workplace Compliance The candidate will lead company’s Workplace Solutions Compliance unit. Will lead these compliance programs related to matters impacting the retirement and voluntary benefits business. Perform regular assessments to ensure that the business line's policies and procedures meet applicable Company and industry standards for ethical market conduct. Partner with the business leaders, providing advice and guidance on compliance matters and mitigation st... 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
Manager, Investment Compliance The candidate will be responsible for the direction and management of the US Investment Compliance Team that provides compliance services for company. Will oversee and participate in all filings to ensure that company is in compliance with federal and state regulatory requirements, including the Form ADV Part I and Brochure as well as the Brochure Supplements. Advises Chief Compliance Officer of: problem situations and recommends correct... 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 Analyst - Investments The candidate will be a member of the Compliance Team that provides compliance services for company. Responsible for advising the Compliance Manager and the Chief Compliance Officer of compliance risk identification and assessment processes, problem situations and recommended corrective actions, and recommended procedures for implementing new statutes and regulations affecting company. Complete monthly monitoring and testing of company... 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
General Counsel/Managing Attorney Responsibilities: Will work with, and report to the General Counsel. Will provide legal services and support to all areas of company's . Investment Management, LLC. Providing legal services in support of the asset management business of a SEC registered investment advisor, including working closely with portfolio managers, traders and analysts. Researching and providing legal advice with regard to the management of the assets... 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
Attorney The candidate will work with, and report to the General Counsel. Will provide legal services and support to all areas of company. Provide legal services in support of the asset management business of a SEC registered investment advisor, including working closely with portfolio managers, traders and analysts. Research and provide legal advice with regard to the management of the assets of registered investment companies, insurance companies, institutional 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
Inv Compliance Officer Duties: Will join the . company's asset management, the organization which oversees asset management for many of company's operating companies as well as third party clients. Asset classes include public bonds, private placements, commercial mortgage loans, derivatives and alternative investments. Significant funds are invested in nearly every fixed income and real estate sector. Investment Management, LLC (AUIM). This position will be... 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 Governance and Compliance Attorney... - Remote Project The candidate will be creating a new board charter and committee charters, creating board programs and developing SEC and SOX compliance programs. Should have experience with IPO and a background taking companies public will be highly regarded. Securities and capital markets experience... are also preferred. Note: This project is initially slated to last 3 months.... 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
