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 other information. - Keep...
The following jobs are no longer active but were real openings previously posted by employers.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 (Specialist, Regulatory Administration) The candidate will prepare and coordinate the review of regulatory filings, including prospectuses, statements of additional information, financial statements, supplements and fidelity bond filings; prepare mutual fund board materials, including... board books, minutes and other corporate governance documentation. Ensure deliverables are prepared timely, accurately and in compliance with department and Fund policies and procedur... 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Note: This job is no longer active.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Note: This job is no longer active.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
Associate Attorney – 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, as well as work for fund industry service pr... 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 Attorney 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 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
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
Associate Counsel The candidate will provide regulatory support for 1940 Act mutual funds and trusts including... preparing fund documents and filing with the SEC, preparing board meeting materials, and working on other regulatory matters as directed by senior counsel. Coordinate data collection and review with colleagues, clients, law firms, and other fund service providers. Ensure client deliverables are prepared timely and accurately and assist clients in addressing fund reg... 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
Regulatory Legal Assistant Duties: Will prepare and coordinate the review of regulatory filings, including prospectuses (mutual fund registration statements), statements... of additional information, financial statements, supplements and fidelity bond filings; prepare mutual fund board materials, including... board books, minutes and other corporate governance documentation. Ensure deliverables are prepared timely, accurately and in compliance with department and Fund policies 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
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