Title: Wealth Management Compliance Officer Job Responsibilities: The role of a Wealth Management Compliance Officer involves a variety of tasks aimed at ensuring compliance within the Wealth Management business. Key responsibilities include: - Analyzing new and updated federal and state laws, regulations, guidance,...
– Commercial Litigation Job Title: Associate – Commercial Litigation Job Responsibilities: The Associate Attorney in the Commercial Litigation Practice Group will be responsible for a variety of tasks aimed at supporting litigation efforts. Key responsibilities include: - Drafting motions, pleadings, discovery, and related litigation documents. -...
Rowe Price is an asset management company that is focused on delivering global investment management excellence and retirement services to its clients. They are currently seeking a Managing Legal Counsel with expertise in the ’40 Act to join their team...
Title: Managing Legal Counsel – Privacy Job Responsibilities: The Managing Legal Counsel – Privacy will play a crucial role in the company, focusing on privacy and data protection within the asset management business. The responsibilities include: - Reviewing and advising on...
The following jobs are no longer active but were real openings previously posted by employers.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.
Title In House Counsel BrassRing Auto req ID 15507BR Company (Must match Job Code & Dept first 3 digit#) 100-**Members Only** is seeking a corporate attorney with a strong regulatory background in the broker-dealer... 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Note: This job is no longer active.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
Legal Analyst - Communications/Advertising Duties: Will provide the Legal department with services with respect to the review and clearance of all communications ( Communications ) relating to Price products and services, including mutual funds, separate accounts, subadvised funds, Funds SICAV, AUTs, and FCPs. These Communications will include sales literature, advertising, presentation kits, and mutual fund prospectuses and summary prospectuses, as well as internal u... 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
Legal Analyst Duties: Will provide the Legal department with services with respect to the review and clearance of all communications ( Communications ) relating to Price products and services, including mutual funds, separate accounts, subadvised funds, Funds SICAV, AUTs, and FCPs. These Communications will include sales literature, advertising, presentation kits, and mutual fund prospectuses and summary prospectuses, as well as internal use only materials for sales s... 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
Legal Analyst Duties: Provide the GCIR department with services with respect to the review and clearance of all communications (Communications) relating to Price products and services, including mutual funds, separate accounts, subadvised funds, Funds SICAV, AUTs, and FCPs. Will include sales literature, advertising, presentation kits, and client reports. Will review these Communications for compliance with applicable regulations, such as the SEC Advertising Rules, re... 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
Of Compliance, Securities Registration The candidate manages SEC filing team; responsible for maintaining variable product prospectuses and registration statements. Manages one or more of the division's Compliance functions (. suitability, advertising, complaints, fraud) in one or multiple locations with minimal supervision. Assist the Compliance Officer and/or appropriate Operational Risk Management in assessing the division’s Compliance risks and prepare such r... 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
Associate Counsel The candidate will support the Chief Compliance Officer in the provision of advice under the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules, the Securities and... Exchange Act of 1934, the Employee Retirement Income Security Act of 1974, banking and trust laws of Maryland and Delaware, and other laws and regulations as necessary. Will support the firm's compliance program and its efforts to prevent, detect and correct violations 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
Legal Counsel The candidate will report to, and be under the direction and supervision of, company's Senior Legal Counsel. Will provide legal advice relating to Sub-Advised Funds advised by company and its affiliated subadvisers. Provide legal advice relating to proprietary variable insurance products and participation arrangements in Funds. Provide legal advice on additional Fund related matters, including contract negotiation, board material drafting, responding to... 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. Legal Counsel Duties: Responsible for legal matters relating to trading for our global advisory business, including review, synthesis and evaluation of global regulatory developments, review an... 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
- Dealer Senior Counsel The candidate will have primary responsibility and authority over various legal, regulatory, and compliance matters related to the brokerage and fund distribution projects. Should have Law degree from an accredited School of Law and member in good standing of a State Bar. Should be Series 7 and 24 licensed (additional licenses a plus). Must be a senior attorney with 10+ years of industry experience in a mutual fund complex, broker-dealer, regul... 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