for Company's Wealth Management's investment advisory business. - Offer legal... regulations, and legal risks related to fiduciary standards of care, trading, best execution, trade allocation, operational issues, principal trading rules, investment allocations, client fee structures,... conflicts of interest, and cash solicitat...
Job Title: Alternative Investment & Private Markets Attorney Job... Responsibilities: The Alternative Investment & Private Markets Attorney... for the Alternative Investments and Private Markets businesses, focusing on alternative investment funds and private securities... transactions. The attorney will analyze, review, negotiate, s...
The following jobs are no longer active but were real openings previously posted by employers.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.
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Note: This job is no longer active.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
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
Legal Compliance Associate The candidate will assist Chief Compliance Officer in all compliance matters associated with the company’s status as a Registered Investment Adviser under the Investment... Advisers Act of 1940.... Will maintain compliance manual... and implement process for annual review. Test compliance policies and procedures and ensure employee and company compliance regularly. Issue employee quarterly political and transaction reports and maintain database of complet... 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
Legal Compliance Associate Duties: Will assist Chief Compliance Officer in all compliance matters associated with the company’s status as a Registered Investment Adviser under the Investment... Advisers Act of 1940.... Maintain compliance manual and... implement process for annual review. Regularly test compliance policies and procedures and ensure employee and company compliance. Issue employee quarterly political and transaction reports and maintain database of completed reports.... 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
Legal Compliance Associate The candidate will assist Chief Compliance Officer in all compliance matters associated with the company’s status as a Registered Investment Adviser under the Investment... Advisers Act of 1940.... Will maintain compliance manual... and implement process for annual review. Regularly test compliance policies and procedures and ensure employee and company compliance. Issue employee quarterly political and transaction reports and maintain database of complet... 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
Login to Apply for Job(s) Title: Legal Compliance Associate (3303) Location: South Norwalk, CT Category: Attorney Employment Type: Direct Hire Description: Legal Compliance Associate needed for this Real Estate Investment Manager located in Connecticut.... Compliance · Assist Chief Compliance Officer in all compliance matters associated with the company’s status as a Registered Investment Adviser under the Investment... Advisers Act of 1940.... · Maintain comp...... 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 a In-house Compliance Associate with solid experience/knowledge of the Investment Company Act and Investment... Advisers Act of 1940.... Duties/responsibilities will include: Responsible... for all relevant internal restrictions, regulatory guidance and regulatory requirements; Ownership of day to day compliance; Monitoring and testing of compliance program; Performing the annual review; and Staying abreast of changing . and global financial industry regulations; Being proa... 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 a Compliance Associate with solid experience/knowledge of the Investment Company Act and Investment... Advisers Act of 1940.... Duties/responsibilities will include: Responsible... for all relevant internal restrictions, regulatory guidance and regulatory requirements; Ownership of day to day compliance; Monitoring and testing of compliance program; Performing the annual review; and Staying abreast of changing . and global financial industry regulations; Being proactive and... 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
Recruiter: Marina Sirras Job Title: In-House Compliance Associate Job Code: Location: Fairfield County, CT Description: Our client, a boutique investment firm, seeks a compliance... associate with solid experience/knowledge of the Investment Company Act and Investment... Advisers Act of 1940.... The candidate should have experience working with institutional managed accounts, commingled funds, and 40 Act funds. Primary duties/responsibilities: *... Responsible for all releva... 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 Associate The candidate will have following primary duties/responsibilities: Responsible for all relevant internal restrictions, regulatory guidance and regulatory requirements; Ownership of day to day compliance; Monitoring and testing of compliance program; Performing the annual review; and Staying abreast of changing . and global financial industry regulations; Being proactive and continually striving for process improvements, error prevention and i... 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