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The following jobs are no longer active but were real openings previously posted by employers.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.
Compliance Consultant V - Investment Advisor and Bank Fiduciary... Services The candidate will conduct regulatory compliance risk management oversight for high risk compliance programs covering registered investment advisers and national... banks... pursuant to the Securities Exchange Act of 1934, Investment Advisers Act of 1940,... and Fiduciary Activities of National Banks pursuant to 12 CFR 9, providing subject matter expertise to the businesses and supporting group partners on selec... 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Note: This job is no longer active.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 II - WIM, Investment Solutions COE The candidate... will be a junior attorney working with a more senior attorney to provide legal support to the following functions within Advisors, the retail brokerage line of business within WIM: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities offerings; (c) commodity futures trading and futures credit risk; (d) listed securities options; (e) market-linked securities and certificates... 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
IV The candidate will provide senior level legal support to the business units within company. Will play a key role in reviewing and assessing the legal and strategic framework within which these products are offered to clients. Will also coordinate with other attorneys on the team on the day-to-day legal support for the distribution and offering products. Report to the Managing Counsel for the WIM Investments Center of Excellence. Must have 8+ years of experience as... 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 III - Wealth and Investment Management Division The candidate... will become a member of the Business Support team within the Wealth Investment Management Division of the... Legal Department. Will specifically support the investment advisory activities of a... dually registered broker-dealer and investment adviser.... Work on a... number of different areas of the business responsible for offering one of the nation's largest wrap fee investment advisory platforms, and be... primarily r... 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
Registration Manager The candidate will oversee Registration functions for the three Broker Dealers associated with company Advisors. Reports to the Director of Registration and Employee Activities. Responsibilities include the development and execution of a robust registration compliance program supporting all business lines in Wealth Brokerage and Retirement. Manage a large staff of compliance registration professionals that support approximately 29,000 registered team mem... 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 Consultant V - Investment Advisor and Bank Fiduciary... Services The candidate will conduct regulatory compliance risk management oversight for high risk compliance programs covering registered investment advisers and national... banks... pursuant to the Securities Exchange Act of 1934, Investment Advisers Act of 1940,... and Fiduciary Activities of National Banks pursuant to 12 CFR 9, providing subject matter expertise to the businesses and supporting group partners on selec... 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, Associate Counsel Duties: 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.... Report to a Senior Vice President, Associate Counsel within the Legal Department’s Corporate group and will support investment adviser, retirement p... 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
President, Associate Counsel (Brokerage) Duties: 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 brokerage offerings. Report to a Senior Vice President, Associate Counsel within the Legal Department’s Corporate group and will support broker-dealer, retirement and new product ma... 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
President, Associate Counsel ( Brokerage) 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, with a focus on the company’s brokerage offerings. Will support broker-dealer, retirement and new product matters in particular. Responsibilities will include Contractual matters. Work with various business unit... 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
President, Associate Counsel ( Brokerage) 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, with a focus on the company’s brokerage offerings. Will support broker-dealer, retirement and new product matters in particular. Responsibilities will include Contractual matters. Work with various business unit... 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