• 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: **Members Only** Relationship Manager Job Responsibilities: - Act as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble the extended advisory team, including trust, investment, and planning strategists, based on...
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...