Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel will join the Workplace Investing (WI) legal team at the company and play a crucial role in advising on various aspects of defined contribution plan recordkeeping, administration, trust, and institutional business. The...
The following jobs are no longer active but were real openings previously posted by employers.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.
Corporate Investment Counsel The candidate should... have 6+ years of experience working on matters related to ETFs, mutual funds, closed-end funds and investment advisers. Experience working with... boards, SEC filings and complex Investment Company Act of 1940... issues is a plus.... Should have a superior academic record, strong work ethic and excellent writing skills.... 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Note: This job is no longer active.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
Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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Note: This job is no longer active.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
Experienced 1940 Act Attorney The candidate responsibilities... include, among other things: drafting, reviewing and preparing annual updates to fund registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements and related filings; communicating with the . Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizati... 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
1940 Act Regulatory Administrator The candidate... will drafts, review, and prepares annual updates to fund registration statements. Will ensures timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings. Communicates with the . Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (., New York Stock Exchange) on... 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
1940 Act Regulatory Administrator The candidate... drafts, reviews, and prepares registration statements for new products or annual updates to fund registration statements. Ensures timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings. Communicates with the US Securities and Exchange Commission (SEC) and other regulatory agencies and self-regulatory organizations (e.... 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
## 1940 Act Attorney . Bank... is looking for a 1940 Act Attorney to join their... Global Fund Services team. This is a full-time position with the potential to work remotely if not located near one of their offices in Milwaukee, Wisconsin (HQ); Cincinnati, Ohio; Glendora, California; or Mesa, Arizona. The successful candidate will have experience working with the Investment Company Act of 1940... and related... securities laws and regulations and preferably have at least five year... 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
Overview: . Bank is looking for an experienced 1940 Act Attorney to join their... Regulatory Administration Group. The successful candidate will have two years to more than twenty years of experience working with mutual funds or ETFs registered under the Investment Company Act of 1940.... The role... is open to candidates who can work remotely, although those located close to one of the offices in Wisconsin, Ohio, or California will be expected to split their time between the offi... 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 Manager The candidate supports regulated entities under the company umbrella in regards to overall compliance by actively managing assigned duties. Assists in quarterly and annual internal audits and tests of supervisory controls for regulated entities, by acting as an active team member and/or project team leader for the Mutual Fund Complex 38a-1 review programs, Adviser Act 206(4)-7 review programs, and... broker-dealer annual review processes under FINRA Ru... 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
1940 Act Attorney The candidate will... be drafting, reviewing and preparing annual updates to fund registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements and related filings; communicating with the . Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (., New York Stock Exchange) on behalf of f... 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
1940 Act Regulatory Administrator The candidate... to join the regulatory administration group of one of the largest mutual fund and exchange-traded fund (ETF) services businesses in the country. The role will have the following responsibilities, although candidates need not have experience with each function: Drafts, reviews, and prepares registration statements for new products or annual updates to fund registration statements; Ensures timely and accurate regulatory filings,... 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