the company's Wealth & Investment Technology (WIT) businesses on... their commercial agreements, focusing on customer licensing and service agreements. - Engage in legal aspects of business or corporate initiatives, ensuring compliance with applicable data privacy laws. - Provide legal advice...
The following jobs are no longer active but were real openings previously posted by employers.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.
Paralegal The candidate will be maintaining and filing registration statements under the Securities Act of 1933 and Investment Company Act of ... be familiar with Forms N-4, N-1A, N-6 and S-1. Conduct legal research, including 50state surveys on life insurance product and distribution topics. Project managing securities filings by serving as a liaison between product, marketing, operations, finance, auditor, third party administrators, outside counsel, sub-advisers a... 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Note: This job is no longer active.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
Paralegal Duties: Handle a variety of legal matters across the Global Atlantic life insurance companies. Maintaining and filing registration statements under the Securities Act of 1933 and Investment Company Act of 1940.... Should be familiar with... Forms N-4, N-1A, N-6 and S-1. Conduct legal research, including 50 state surveys on life insurance product and distribution topics. Project managing securities filings by serving as a liaison between product, marketing, operations,... 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Note: This job is no longer active.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
Consultant The candidate will be preparing and maintaining Form. Will be performing mock SEC inspections and annual reviews. Assisting clients with ongoing compliance needs. Interacting with the SEC, FINRA and other regulatory bodies. Developing clients and new business. Knowledge of broker dealer and IC regulations is a plus. Mus have 3+ years of relevant industry experience, a bachelor’s degree and/or JD degree. More experience and industry certifications is consi... 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 / SR Counsel -Investment Management The candidate will... be developing incisive reports for the Senior Vice President, Chief Investment Officer and his leadership... team, the GCO and the Associate Chief Counsel. Will be ensuring compliance with the Investment Advisers Act of 1940... and other applicable federal and state regulations affecting CIM’s investment and business operations. Remaining... apprised of legislative and regulatory developments that might affec... 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
Officer-Investment Management Responsibilities: Report to GCO and will work closely with the Associate Chief Counsel, Investments, who leads the legal team that supports. Will be the Chief Compliance Officer. Will be responsible for ensuring that compliance initiatives are consistent with core values, the mission and vision of the Program, and the expectations of key stakeholders, including regulators and enforcement agencies. Collaborate successfully with colleag... 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 Duties: Developing incisive reports for the Senior Vice President, Chief Investment Officer and his leadership... team, the GCO and the Associate Chief Counsel; Ensuring compliance with the Investment Advisers Act of 1940... and other applicable federal and state regulations affecting CIM’s investment and business operations; Remaining... apprised of legislative and regulatory developments that might affect CIM’s operation; Developing and implementing an annual... 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
## **Members Only** seeks a... VP, Senior Counsel to provide legal and regulatory guidance and subject matter expertise related to its global investment management business and range... of products. This position may sit in either our NYC or Hartford office location and has a base salary range of $200,000 to $240,000. **Job Responsibilities:** - Provide legal advice and guidance... 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
# Vice President, Senior Counsel (Global Funds) ## A Multi-Manager Asset Management Business Our employees are our most valuable asset. As such, we are looking for an experienced Vice President, Senior Counsel to join our global funds team in either our Hartford, CT or NYC office. This position is responsible for providing legal and regulatory guidance and subject matter expertise related to our global investment management business and range... of products. The base salar... 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 Posting No: 1993 Status: Temp Job Title: Attorney Category: Corporate/Securities Location: Connecticut Work Experience: 5-10 years Posting Date: July 8, 2010 Education Level: JD Description: Temporary assignment for a corporate/securities attorney to work in a corporate legal department of an investment company. Ideal candidate will... have 5-10 years experience with Securities Act of 1933 and Securities... Exchange Act of 1934 and public... company work in general. Also,... 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