Title: Wealth Management Attorney - Vice President, Assistant General Counsel Job Responsibilities: - Serve as a primary legal contact supporting the company's Wealth Management’s broker-dealer and investment advisory products, services, and sales channels for retail businesses. - Advise on a wide range of...
Advisor III - High Net Worth and Ultra-High Net Worth Clients Location: Available in 2 locations (United States of America) Category: Wealth, Brokerage and Premier Banking Job Type: Regular Language Fluency: English (Required) Work Shift:...
The following jobs are no longer active but were real openings previously posted by employers.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.
- Global Marketing Compliance The candidate will be responsible for setting standards, reviewing, advising, analyzing, and evaluating global communications content (which includes advertising, digital, social and other marketing) to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, guide internal marketing teams on the compliance for projects and customer facing communications to ensure company meets requirements unde... 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Note: This job is no longer active.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
Regulatory Attorney Duties:Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to manage regulatory matters involving the organization and its subsidiaries. May lead major projects with significant business impact involving cross-functional teams. Completes complex assignments with oversight by managing attorney. Provides comprehensive solutions to complex problems or needs. End results... 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Note: This job is no longer active.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 III Candidate will use extensive knowledge and skills obtained through education and experience to provide legal advice and counsel in corporate matters, including contracts and agreements, business acquisitions, and regulatory matters involving various asset management subsidiaries and affiliates. May lead major projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction, devel... 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 III Duties: Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to provide legal advice and counsel in corporate matters, including contracts and agreements, business acquisitions, and regulatory matters involving various asset management subsidiaries and affiliates. May lead major projects, programs or processes with significant business impact involving cross-func... 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
Attorney The candidate works closely with the Compliance, Operations, Supervision, and Marketing departments of the BDs and RIA. Drafts, reviews, and negotiates selling agreements, loan agreements, vendor agreements, and other third party agreements. Drafts, reviews, and negotiates distribution-related agreements for mutual funds, variable insurance products and retirement services and platforms. Drafts and reviews client contracts, disclosure forms, SEC filings, adve... 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, Compliance Risk Assessment The candidate will assist in the development and execution of the annual Compliance Risk Assessment. Will assist in the research in Regulatory Compliance developments, such as a regulatory enforcement actions and events. Assist in the research and gathering information on controls addressing regulatory risks. Assist in the mapping of Compliance Obligations and/or Compliance Risk Taxonomy to business units and functional areas. Assis... 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 Officer The candidate will oversee Newport Group’s Investment Advisor’s compliance program pursuant to the Investment Advisor’s Act of 1940, the Code of Ethics effort related the monitoring of employee trading for compliance with SEC Rule 204 A and applicable FINRA regulations. In addition, will... also be responsible for review and approval of the Firm’s marketing materials including social media. Ensure that the appropriate controls are in place to m... 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 ensure that the appropriate controls are in place to monitor employee trading pursuant to Newport Group’s Code of Ethics and applicable policies. Will facilitate, review and reconcile quarterly and annual employee holdings and Code of Ethics attestations. Update the Firm’s ADV Part 1 and Part 2, annually and as needed. Review and approve the Firm’s marketing communications. Maintain applicable policies and procedures to ensu... 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 Officer The candidate will oversee Group’s Investment Advisor’s compliance program pursuant to the Investment Advisor’s Act of 1940. Will oversee the Code of Ethics effort related the monitoring of employee trading for compliance with SEC Rule 204A-1 and applicable FINRA regulations. Ensure that the... appropriate controls are in place to monitor employee trading pursuant to Group’s Code of Ethics and applicable policies. Facilitate, review and reconcile quart... 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 Officer The candidate will oversee firm's Investment Advisor’s compliance program pursuant to the Investment Advisor’s Act of 1940. Will oversee the Code of Ethics effort related the monitoring of employee trading for compliance with SEC Rule 204A-1 and applicable FINRA regulations. Ensure that the... appropriate controls are in place to monitor employee trading pursuant to firm's Code of Ethics and applicable policies. Facilitate, review and reconcile quarter... 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