• Develop and maintain regulatory compliance standards for registered investment adviser and broker-dealer clients • Implement and monitor compliance policies and procedures • Develop strategic vision for compliance functional areas • Maintain regulatory risk and governance oversight • Analyze and...
Title: Wealth Management Attorney - Vice President, Assistant General Counsel Job Responsibilities: - Serve as a primary legal contact supporting the company's broker-dealer and investment advisory products, services, and sales channels for retail businesses. - Advise on a wide range of projects and...
Compliance Officer - Investment Management Chief Compliance Officer Opening in Calfee's Cleveland, Columbus, or Cincinnati Office Opportunity for a Chief Compliance Officer in the Investment Management group in our Cleveland, Columbus, or Cincinnati office. This role...
Title: Chief Compliance Officer Or Senior CounselJob Overview: A distinguished law firm based in Columbus, OH is seeking an accomplished compliance and legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play...
The following jobs are no longer active but were real openings previously posted by employers.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.
Paralegal The candidate will serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and Exchange Act of 1934. Prepare drafts of regulatory documents for various mutual funds, exchange-traded funds and closed-end funds for filing with the . Securities and Exchange Commission (SEC), including... 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Note: This job is no longer active.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 The candidate will have following duties and responsibilities: Assisting VP of Compliance and Corporate Counsel in the following activites: reviewing and negotiating client, carrier, and miscellaneous vendor contract; monitoring federal legislative activities concerning employee benefit issues; overseeing agent registration; handling appointment and licensing issues; supervising the firm's business operating standards and related operational audit... 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 Duties: Provide legal and regulatory support to firm. Work with senior business executives on new product development; product distribution and marketing compliance; corporate governance; and transfer agency. Provide leadership in the development and execution of firm’s compliance programs. Work with outside counsel, as needed, in order to resolve complex issues arising under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Se... 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
Specialist The candidate will be responsible for assisting the Chief Legal Officer and the Chief Compliance Officer (CCO) in all legal and compliance matters and coordinating all regulatory affairs throughout the firm. Will be responsible for planning, coordination, and distribution of Board materials for Funds Board meetings. Coordinate filing mutual fund documents and financial statements with the SEC’s EDGAR system. Coordinate updating and filing 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
Administrator Senior The candidate will coordinate the production of consulting agreements and compensation disclosure forms, business cards and other template documents as requested by GRS sales and client services staff. Act as compliance and licensing liaison. Assist with registered representative transition process for new merger partners, as necessary. Maintain broker-dealer registered representative database and organize compliance files. Provide administrati... 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
Licensing Paralegal The candidate will provide administrative support for various administrative and compliance matters. Will coordinate the production of consulting agreements and compensation disclosure forms, business cards and other template documents as requested by GRS sales and client services staff. Act as compliance and licensing liaison. Assist with registered representative transition process for new merger partners, as necessary. Maintain broker-dealer reg... 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 Duties: Provide legal and regulatory support. Work with senior business executives on new product development; product distribution and marketing compliance; corporate governance; and transfer agency. Provide leadership in the development and execution of firm’s compliance programs. Work with outside counsel, as needed, in order to resolve complex issues arising under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities... 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
Assistant Secretary The candidate must have some experience. Good computer skills, ability to organize matters and follow through, and excellent spelling and grammar skills are required. Should be a self-starter and able to work independently. Experience in litigation and insurance defense preferred.... 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 Officer The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.... Will review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that required regula... 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 Officer The candidate will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.... Will review, investigate and respond to customer complaints. Review, investigate and respond to regulatory inquiries. Ensure that required regula... 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