Research and provide legal advice to the company’s business concerning FINRA regulatory and broker-dealer compliance... issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms, conditions, and other pertinent information. - Keep updated on regula...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of clients...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Participate in mock regulatory examinations and compliance program reviews. - Assist with policy and procedure reviews, drafting reports, and creating manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to...
The following jobs are no longer active but were real openings previously posted by employers.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.
Scope: The practice group manages and handles complex government enforcement investigations across all lines of business, including the retail and corporate banks, the asset management group, and the mortgage company. The lawyer who will fill this position will also provide legal... 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Note: This job is no longer active.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 Paralegal DUTIES: Provide senior level Paralegal registered fund regulatory services to Federated legal staff and business units, outside counsel and clients to meet requirements of the SEC, FINRA, and other registered fund... regulators. Working with internal and external counsel, Federated business units, Legal Services and Legal Department management, prepare and review regulatory documents required for the creation and maintenance of registered funds, ensuring they... 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 Paralegal DUTIES: Provide senior level Paralegal registered fund regulatory services to Federated legal staff and business units, outside counsel and clients to meet requirements of the SEC, FINRA, and other registered fund... regulators. Working with internal and external counsel, Federated business units, Legal Services and Legal Department management, prepare and review regulatory documents required for the creation and maintenance of registered funds, ensuring they... 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 III The candidate will provide legal advice to company's lines of business, as well to the Compliance, Ethics and Audit Departments, in the context of regulatory examinations and other informal inquiries. May be assigned particular business areas as primary areas of focus. Will manage and handle complex government enforcement investigations and proceedings brought by federal, state and local agencies and regulators across all lines of business, including the 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
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. SVP, Compliance Director - Funds The candidate will be responsible for implementation of the mutual fund compliance program to ensure its regulatory and fiduciary obligations are met. Serve as... 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
- Investment Management Duties: Provides general legal counsel to AMGs investment management business as well as specific advice on products services and certain legal actions. Reviews legal contracts and documents. Directly or through staff conducts legal research. May represent the bank in legal actions. Will lead a team ( attorney, paralegal) dedicated to supporting company's alternative investment businesses and will be responsible for providing strategic, 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
General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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 The candidate will manage and handles complex government and regulatory enforcement actions and internal investigations across all lines of business, including the retail and corporate banks, the asset management group, and the retail and institutional broker dealers. Will support the AML/BSA and Enterprise Compliance functions, as well as provides day-to-day advice to the lines of business. Expertise handling government and regulatory enforcement actions that... 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 and Investment Funds Attorney Specialist The candidate will support attorneys with the formation and operation of private investment funds, negotiation of side letters on behalf of sponsors and investors, and the marketing of fund interests and separate accounts. Will work with partners and associates on essential matters for sophisticated clients. Should have strong academic credentials. Should preferably have experience representing private fund sponsors 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
Associate and Counsel (Securities) The candidate will help serve the firm's dynamic clients. Should have in-depth securities experience of 5+ years in the following areas: public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934), registration and listing of securities, debt obligations and knowledge of NASDAQ and NYSE Rules, reporting on Forms 10-K, 10-Q, and 8-K, proxy statements for annual and special shareholder meetings, 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