lead regulatory examinations and provide legal assistance to the company's retail broker-dealer. Key responsibilities include: - Leading internal coordination for regulatory examinations and investigations by the Securities and Exchange Commission (SEC), FINRA, and state securities departments.... This involves interfacing with t...
Title: Assistant General Corporate Counsel — Wealth Management, Personal Trust and Investments Attorney Job Responsibilities: The Assistant General Corporate Counsel will join the company’s Law Division’s Wealth Management & Investment Services legal team, focusing on supporting the company’s personal trust and investments...
The following jobs are no longer active but were real openings previously posted by employers.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Note: This job is no longer active.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
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
Duties: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client questions on suc... 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: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client questions on suc... 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
Responsibilities: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with our state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client qu... 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
Responsibilities: Assist in the preparation and updating of Disclosure Booklets and Supplements for 529 qualified tuition plans by gathering information, drafting and proofreading. Assist in the drafting of contractual agreements, both with our state tuition clients and with outside vendors. Serve as the education savings law liaison on various business area projects. Serve as the primary contact with the business for various state programs and respond to client qu... 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
Analyst - PGI The candidate will implement and administer the compliance function for principal global investors. This includes review of advertising materials, development and maintenance of compliance policies, procedures and controls. The candidate must have a Bachelor's degree or equivalent in business or related field of study. 2-4 years of experience in investments with 1-2 years of experience in compliance position. Paralegal degree is preferred. Series 7,... 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: Based on experience and qualifications Job Title: Senior Compliance Specialist Experience Information: 4+ years of legal or regulatory compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Responsibilities: Support the company’s enterprise regulatory change management program. Review and summarize domestic and international legisl... 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: Salary range for this role is $150,000-$200,000 per year, depending on experience and qualifications. Job Title: Lead Counsel - Wealth and Investment Management Books and Records Experience Information: 5+ years of law experience, or equivalent demonstrated through work experience, training, military experience, or education. H1 and H2 Friendly Headings: H1: Lead Counsel - Wealth and Investment Management Books and Records H2: About... 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
Management Aegon ## Senior Counsel (Insurance/Securities Regulatory) ### Who We Are **MEMBERS ONLY**SIGN UP NOW***. has been helping people feel better about the future for more than 100 years. We provide investment, retirement, and life insurance solutions to more than 11 million customers throughout the . But the way we see it, our responsibility goes beyond our clients’ accounts. We’re in the business of helping people live well and empowering them to create a better t... 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