Title: Of Counsel - Investment Management - Financial Institutions Job... Counsel position within the Investment Management - Financial Institutions... Provide expert legal counsel on investment adviser regulatory matters, leveraging... over seven years of experience in the field. - Advise top-tier investment manageme...
The following jobs are no longer active but were real openings previously posted by employers.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.
Assistant Vice President, Investments Counsel Duties: Will provide support to Penn Mutual and its affiliates as a member of the Law Department, reporting to the Chief Legal Officer. Will primarily provide counsel to company's wholly owned subsidiary, company's Asset Management, a registered investment advisor and advisor to... Penn Mutual, including surrounding the investment portfolios of company and... its insurance affiliates. In addition to other, this role will support genera... 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Note: This job is no longer active.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 Director - Investment Advisory The candidate will... provide investment advisory compliance coverage for... company's Personal Wealth Management (PWM) and company's Personal Investments (PII) activities operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser regulations, Group's fiduciary... policy, and other relevant Group policies.... 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Note: This job is no longer active.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, Investment Adviser The candidate will... be responsible for all investment advisory compliance for a... SEC registered investment advisor. Will report to... Chief Compliance Officer and will work closely with the Advisory Sales Department. Responsible for assisting the CCO in the establishment, maintenance and enforcement of the rules and regulations of the Investment Advisers Act of 1940,... ERISA, DOL, fiduciary law.... Responsible the implementation of the firms inve... 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
Job Summary Company Lincoln Investment Planning, ; Location ... Wyncote, PA 19095 Industries Financial Services Job Type Full Time Employee Years of Experience 5+ to 7 Years Education Level Bachelor's Degree Career Level Manager (Manager/Supervisor of Staff) Job Reference Code Comp Adv- IA- 10/2011 Compliance Advisor- Investment Advisor About the Job... Basic Function: Position involves responsibility for all investmen... 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
Services Manager The candidate will be responsible for providing services with respect to legal matters associated with the provision of accounting, administration and distribution services to mutual funds, exchange-traded funds and closed-end funds. The types of services provided by the Legal Department with respect to this business include managing the fund board meeting process, including preparation of meeting minutes, reviewing and coordinating the drafting and fi... 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
Seeking an Associate with 3-5 years of investment management experience. Position involves... counseling top tier mutual fund, hedge fund, investment management and securities firms... on regulatory issues, development of new products and services and registration, enforcement, corporate and transactional matters. Must have experience with Investment Company Act of 1940,... Investment Advisers Act of 1940,... other federal securities laws... and SRO rules. Pennsylvania Bar admission is need... 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
Seeking an Associate with 3-5 years of firm, SEC or FINRA experience. Must have an interest in broker-dealer, securities markets, and investment adviser regulatory matters, as... well as contract or corporate finance experience, experience with exchange traded funds (ETFs), SEC reporting, and with the following securities laws: the Securities Act of 1933, the Securities... Exchange Act of 1934, and the... Investment Advisers Act of 1940.... Position involves... counseling top-tier securitie... 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
Seeking an Investment Management Associate with 3-5... years of law firm, SEC or industry experience in investment management. Must have familiarity... and demonstrated experience with the Investment Company Act of 1940,... Investment Advisers Act of 1940,... other federal securities laws... and SRO rules. PA Bar required.... 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 Associate The candidate must... have 3-5 years of strong experience in investment funds and registered investment... advisers. Book of business... is required. NY Bar admission is required.... 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
Seeking an Associate with 4-6 years of investment management experience. Must have... a solid background in the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... the Securities Act of 1933, the Securities... Exchange Act of 1934, and related... regulations. Experience representing registered investment companies and investment advisers,... including the preparation and review of registration statements, board meeting materials, and investment management and advisory ag...... 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