ensure effective oversight of operational risk. Brief senior leadership on results, trends, studies, and initiatives. Recommend process improvements and escalate existing and emerging risks associated to business processes. Act as a trusted advisor... for the business and mentor peers. Over...
ensure effective oversight of operational risk. Brief senior leadership on results, trends, studies, and initiatives. Recommend process improvements and escalate existing and emerging risks associated to business processes. Act as a trusted advisor... for the business and mentors' peers. O...
and Compliance Specialist The candidate executes quality and compliance assessments and/or engages in regulatory management activities, including responsibility for annual SIU compliance reporting and oversight of the DOI consumer complaint process. Partners with key stakeholders to improve compliance with state...
The following jobs are no longer active but were real openings previously posted by employers.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.
Trust Senior Transactions Manager - TMG The candidate will review highly complex specialized deals transactions / structures aligned to a business or multiple product segment from initiation through closing. Will be a key liaison with outside counsel and in conjunction with Client and Business Development may drive and take lead in negotiation of the terms of the structure. Serve as primary contact with internal and external parties on new and existing transactions... 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Note: This job is no longer active.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 will... provide legal support to a group of mutual funds and corporate clients by: preparing, reviewing, and filing all required periodic forms with the Securities and Exchange Commission (including filings on Forms N-1A, N-CSR, N-Q and N-SAR); handling all aspects of board meeting coordination and post-board meeting tasks, such as organizing board meeting materials, requesting directors’ meeting attendance fees; handling director corresponden... 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 - Corporate and Investment Banking The candidate will provide compliance advisory and monitoring support to company's Corporate and Investment Banking (CIB) business in North America. Will assist in enhancing the CIB Compliance program through active participation with the business, acting as a key driver in analyzing and implementing new rules and regulations and managing regulatory risk in an effective and control-oriented manner. Have close contact with... 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 The candidate manages other attorneys or legal personnel or an area of practice within the department. Will provide expert advice in identifying and managing critical legal and regulatory issues and draft, analyze and negotiate agreements supporting the establishment of client and omnibus clearing accounts - exchange and clearinghouse memberships, and vendor agreements. Advise management on, among other things: applicable requirements under the Commodity Exc... 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 Managing Counsel The candidate will report to in-house lawyer with principal responsibility for covering the organization's capital markets firm. Will focus on day to day sales and trading matters for BD, with a focus on equities, listed options and fixed income securities, cross border sales, Regulation S and non-US agreements. Specific expertise in the Securities Act of 1933, the Securities... Exchange Act of 1934 and FINRA... rules as well as some familiarity with bankin... 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 The candidate will serve as Senior Counsel and Managing Director in the Office of Public Policy and Regulatory Affairs. Will support the strategic objectives of company's Regulatory Reform Steering Committee (RRSC) and will involve advising, counseling, and supporting the Finance and Risk functions and critical Investment Services and Investment Management businesses. Responsibilities will cover: advocacy efforts related to all of the company's regulatory re... 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
General Counsel- Municipal Securities The candidate will provide transactional and regulatory advice and documentary assistance to bankers, traders and salespeople in the company’s Municipal Securities Division (MSD). Provide advice on matters arising from municipal securities offerings, secondary market trading of municipal securities, reinvest products, derivatives, tender option bond programs and loans. Will be expected to be familiar with, or learn, applicabl... 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
Analyst-Control Group Advisory The candidate supports the North America Control Group Compliance team (“NAM Control Groupâ€), a division within ICG Compliance responsible for developing policies and procedures reasonably designed to prevent the misuse of material nonpublic information. The position entails a high degree of interaction with varying levels of personnel and management within Compliance and throughout different global functions and business units w... 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
General Counsel- Credit Trading The candidate will provide transactional and regulatory advice and documentary assistance to traders and salespeople primarily in bank’s Credit Trading business including credit and emerging market derivatives, credit linked notes and total rate of return Swaps and other OTC Swaps (credit and emerging market) and to a lesser extent other trading desks. The attorney will support the trading, structuring and sales desks for there pro... 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