contracts related to the company's ETF and mutual fund... distribution business. - Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service providers, and others regarding contract terms and conditions and...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities:... - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work...
The following jobs are no longer active but were real openings previously posted by employers.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.
#### Associate Counsel **Job Description** The Associate Counsel will provide legal solutions and support for a wide variety of business partners of the company and bank. This position... will be responsible for managing, drafting, and negotiating contracts, offering counsel on a variety of legal questions, supporting the handling of litigation, preparing and filing corporate formation documents, and researching unique legal issues impacting the organization. **Essentia... 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Note: This job is no longer active.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
Loan Specialist III The candidate will manage and administer a portfolio of loans from origination through to settlement and funding in accordance with Bank policies, procedures, and regulatory requirements. Will manage a loan pipeline from origination through to settlement and funding in accordance with Bank policies and procedures. Provide documentation and Bank policy and procedure guidance to all lending areas. Resolve more complex issues relating to closings.... 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
Associate Attorney – Securities The candidate will play an immediate and direct role in regulatory, compliance, and transactional client work for a national practice serving SEC-registered investment advisory firms, open-end investment... companies (mutual funds), registered... closed-end investment companies, ETFs, common and... collective investment trusts, other public and... private on-shore and off-shore investment vehicles, and fund industry... service providers. In addition, they wi... 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
Counsel (1940 Act Attorney) The candidate... will support firm continued growth. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are prepared timely and accurately. Ensure client satisfaction and resolve issues. Ensure deliverables are prep... 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
Counsel (1940 Act Attorney) The candidate... will support growth, specializes in the Investment Company Act of 1940.... Adept at... interacting with management, external counsel and clients. Reviews regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings; prepare mutual fund board materials, including board books, minutes and other corporate governance documentation. Ensure client deliverables are pre... 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
direct role in regulatory, compliance, and transactional client work for a national practice serving SEC-registered investment advisory firms, open-end investment... companies (mutual funds), registered... closed-end investment companies, ETFs, common and... collective investment trusts, other public and... private on-shore and off-shore... 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
Securities Attorney The candidate will play an immediate and direct role in regulatory, compliance, and transactional client work for a national practice serving SEC-registered investment advisory firms, open-end investment... companies (mutual funds), registered... closed-end investment companies, ETFs, common and... collective investment trusts, other public and... private on-shore and off-shore investment vehicles, and fund industry... service providers. Will assist in defense of SEC ex... 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 Paralegal The candidate provides... paralegal assistance to senior attorneys in furtherance of an array of business line objectives (investment management, executive, and sales... and marketing) and in support of a broad range of mutual fund regulatory and administrative requirements (pursuant to the Investment Company Act of 1940).... Provides significant... work in drafting, negotiating, and maintaining a range of contractual and related type arrangements. Significant contact... 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 Paralegal The candidate provides... paralegal assistance to senior attorneys in furtherance of an array of business line objectives (investment management, executive, and sales... and marketing) and in support of a broad range of mutual fund regulatory and administrative requirements (pursuant to the Investment Company Act of 1940).... Provides significant... work in drafting, negotiating, and maintaining a range of contractual and related type arrangements. Significant contact... 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