The following jobs are no longer active but were real openings previously posted by employers.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.
III - Investment Banking and Securities Section The candidate will review and negotiate disclosure documents, distribution agreements, marketing materials and other documents in connection with securities and other investment product offerings. Will review and negotiate purchase agreements, engagement letters, formation documents, conflict waivers, joinder and other agreements in connection with private equity and other commercial finance transactions. Review prope... 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Note: This job is no longer active.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
Head of Business Unit Compliance The candidate will report directly to the Chief Compliance Officer and will be responsible for the effective leadership of the overall compliance program for IFP, including management of robust processes to establish, maintain, review, test and modify policies and procedures designed to achieve compliance with applicable securities and insurance laws, and SEC and FINRA rules. The CCO will... serve as a principal adviser to senior management of I... 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Note: This job is no longer active.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
SEC/40 ACT Attorney The candidate should have following experience: 10 years of experience serving a mutual fund complex and having significant expertise relating to the Investment Company Act, the Investment Advisers Act, the Commodity Exchange Act, FINRA rules, broker-dealers, transfer agents... and related regulatory filings (including registration statements, proxy statements, periodic reports, exemptive applications and no-action letters); working with and communicating cl... 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
Advisor - Full Service Accumulation The candidate will be responsible for compliance consultation on RIS Strategic initiatives and projects as well as keeping abreast of industry trends, legislative and regulatory changes. Will also be responsible for review, interpretation, assistance and oversight of compliance with newly enacted and existing laws and regulations that impact the Full Service Accumulation business line. Bachelor's degree or equivalent experience... 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
Chief Compliance Officer - Funds The candidate will handle various aspects of the Funds’ compliance program, including assisting the Fund CCO with maintaining written compliance policies and procedures for the Funds to ensure compliance with Rule 38a-1 under the Investment Company Act of 1940 (“`40 Actâ€). Will assist the Fund CCO with providing written and oral presentations to the Fund Board of Directors. Provide support to Fund Compliance staff by serving as 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
Senior Compliance Analyst The candidate will investigate and respond to customer complaints received directly or by way of FINRA, SEC and/or State Regulators,... concerning a variety of products and services such as Variable Annuities, Brokerage, Advisory, REITs, DPPs, etc. Perform thorough research based on allegations outlined in the complaint. Provide outstanding customer service to both internal and external customers throughout the complaint resolution process. Evaluate co... 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 The candidate will investigate and respond to customer complaints received directly or by way of FINRA, SEC and/or State Regulators,... concerning a variety of products and services such as Variable Annuities, Brokerage, Advisory, REITs, DPPs, etc. Perform thorough research based on allegations outlined in the complaint. Provide outstanding customer service to both internal and external customers throughout the complaint resolution process. Evaluate complaint... 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
Information The salary range for this role is $100,000 - $150,000. # Lead Compliance Officer 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
We are currently recruiting for an Attorney with a minimum of ten years of experience serving a mutual fund complex and having significant expertise relating to the Investment Company Act, the Investment Advisers Act, the Commodity Exchange Act, FINRA rules, broker-dealers, transfer agents... and related regulatory filings (including registration statements, proxy statements, periodic reports, exemptive applications and no-action letters); working with and communicating clear... 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