Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: - Lead a team of dedicated privacy attorneys and professionals, providing guidance on substantive legal issues and contributing to their career development. - Serve as a member of various authorized...
the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel to Senior Management for the company's SEC-registered investment adviser responsible for investment... management services to proprietary... funds and separate accounts. - Offer legal...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: The SVP, Associate General Counsel, Chief Privacy Officer is a pivotal leadership role within the company, responsible for overseeing privacy, technology development, cybersecurity, incident response, data governance, and artificial intelligence...
Title: AVP, Sr. Counsel - Fund Mgmt Job Responsibilities: In the role of AVP, Sr. Counsel - Fund Mgmt, you will provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and advisory businesses. Your...
The following jobs are no longer active but were real openings previously posted by employers.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 The candidate will assist other attorneys in the department, including senior attorneys, the Associate General Counsel and the Chief Legal Officer, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s brokerage offerings. Will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and Regulatory group and will support LPL’s Institution Services b... 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Note: This job is no longer active.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 AVP, Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s registered investment advisor (“RIAâ€) offerings.... Will work with various business units within the company to draft and negotiate contracts with financial advisors, portfolio managers, product... 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
VP, Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice in a wide variety of areas related to the company’s broker-dealer business. Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance... on development of policies related to new and changing... 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- Retail Investment Advisory Duties: Provide more... focused and comprehensive compliance coverage for Personal Wealth Management and CPII activities under the CGMI registered investment advisor. Enhance control... structure... and oversight of activities involving the CGMI RIA. Provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser regulations, 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
EVP, Chief Compliance Officer The candidate will be responsible for the day-to-day management of Compliance functions including: Policy Management, Registration & Licensing, Compliance Education, Regulatory Change Management, Investment Advisory Compliance, Branch Examinations,... Compliance Advice & Guidance, Senior Investor Protection, Conflicts Management, E-Communications, Marketing & Regulatory Reviews, and Information Life Cycle Management. Develop and maintain policies 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
Vice President - Investigations The candidate will be responsible for conducting in depth reviews and investigations into allegations or red flags involving fraud, inappropriate sales practices, and other violations of firm policy by financial advisors affiliated with the Firm. The responsibilities also include review and assessment of the related supervision and risk control activities performed by the firm and its associated persons, and making recommendations to... 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
AVP, Associate Counsel Duties: Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance... on development of policies related to new and changing regulations affecting the company’s service offerings. Deliver quality legal advice to internal partners and senior management on general broker-dealer issues, including both sales practice and financial/operations matters. Serve as counsel to stan... 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 assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s operations and trading functions. Will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and and Regulatory group and will require frequent interactio... 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
SVP, Advisory CCO and Head of Product & Platform Compliance Apply Job ID: R-004290 Date posted: 08/27/2018 Primary Location SC-Fort Mill The SVP, Advisory CCO and Head of Product & Platform Compliance will serve as a senior leader in the firm’s Compliance, Legal & Risk (CLR) organization. This individual will serve as the Chief Compliance Officer for LPL’s registered investment adviser (the “corporate... RIAâ€) and be responsible for the execution of complianc... 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 Responsibilities: Provide legal advice and support to business and compliance teams on issues related to sanctions, AML, anti-corruption laws and regulations promulgated by the Office of Foreign Assets Control (OFAC) / Treasury, USA PATRIOT Act, Bank Secrecy Act, . Foreign Corrupt Practices Act (FCPA), etc. Assist, and work with outside counsel as necessary, in representing the Firm before regulatory authorities in matters related to sanctions, AML,... 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