Job Title: Private Client Advisor II Job Responsibilities: - Lead the... client management process (CMP) within the client team to identify new business development opportunities. - Source new clients in alignment with the established risk appetite. - Lead the client team to deliver meaningful...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including...
The following jobs are no longer active but were real openings previously posted by employers.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.
Corporate (Investment Management) Associate Candidate will... have 4+ years of experience working on matters related to the investment management field, such as... registered funds, ETFs, hedge funds,... and investment advisors. Additional experience with... broker-dealers is a plus. A superior academic record, strong work ethic and excellent writing skills are required.... 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Note: This job is no longer active.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
Corporate Counsel Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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Note: This job is no longer active.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 Manager RA The candidate will lead a team that receives, processes, investigates, and responds to customer complaints and other allegations of potentially inappropriate activities by the Firm’s associated Registered Representatives and Investment Advisor... Representatives. Correspond with various... regulatory agencies to receive, process, investigate, and respond to regulatory inquiries. This may include the SEC, FINRA and/or state regulatory agencies. Lead the team 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
Assistant General Counsel - Broker Dealer The candidate will act a primary legal counsel for company's Investment Services (IS), an SEC/FINRA... registered broker/dealer and 50-state licensed... insurance agency which actively operates in 14 states. Will engage with PWM/IS Leadership and provide timely and accurate legal advice, in addition to practical assistance, to Compliance, Risk Management and Audit teammates. Compressively support IS's response to all new requirements impos... 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
Chief Compliance Officer Investment Advisor (CCO IA) The... candidate will be responsible for compliance with SEC rule 206(4)-7 of the Investment Advisers Act of 1940,... FINRA rules, state securities laws, and related securities/ERISA/insurance regulations for all Corporate Registered Investment Advisers within Advisor... Group.... Will work closely with senior business management, marketing, operations, sales support, supervision, internal and external auditors; interact as needed wit... 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 Advisor - Team Lead (Surveillance... and Data Analytics) The candidate will lead a team to achieve efficient, timely, and cost-effective policies for the business unit to ensure compliance with state and federal laws and regulation affecting business unit products and services. Will provide comprehensive analysis and guidance on complex compliance issues and develop innovative solutions to meet internal and external customer needs. Research and share legislative, 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
Chief Compliance Officer, Investments The candidate responsible for developing and monitoring broker dealer, RIA and Insurance compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff; and reviewing prospectuses, applications, and advertising materials. It is also 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
We provide securities and corporate law services to investment advisors, broker-dealers, registered representatives, and other financial... services firms. We focus on providing the highest quality of legal services to our clients in a timely manner. Our attorneys have extensive experience in securities and corporate law, and are committed to providing excellent service and legal advice. Heading: Job Opportunity as a Securities Paralegal at a Virtual Law Firm Law Firm is s... 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
Assurance Advisor - Assurance (FIDS) (Manager)... The candidate will assist clients in performing fraud and forensic investigations through the use of technology, expert witness services, and financial, economic, and statistical analyses. Advise clients on understanding and managing fraud risk. Examine and evaluate financial and information systems, recommending controls to ensure system reliability and data integrity. Investigate alleged misconduct, measure the financial impli... 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
mid-to senior level corporate (investment management) attorney with preferably... 4+ years of experience working on matters related to the investment management field, such as... registered funds, ETFs, hedge funds,... and investment advisors. Additional experience with... broker-dealers is a plus.... 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