Job Title: Investment Management Associate Job Responsibilities: - Represent... registered investment advisers, registered funds,... ETFs,... as merging funds and advisor acquisitions. - Maintain frequent direct... with clients and service providers, necessitating strong communication skills. - Manage legal documentation and compliance related to investment...
Job Title: Private Client Advisor II Job Responsibilities: The Private... Client Advisor II at the company... is responsible for acquiring new clients, deepening client relationships, and building an internal and external network to achieve business development goals. Key responsibilities include leading...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed. This may also involve reviewing work conducted by Associates. - Participate in state money transmission license...
(public and private), the Securities Act of 1934 (Registered Investment Advisors), the Securities... Act of 1940 (Registered Investment Companies) and related... disclosures, filings and compliance obligations. The candidate should be self-starter with the ability to work with others to dev...
The following jobs are no longer active but were real openings previously posted by employers.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 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Note: This job is no longer active.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
Compliance Analyst - Regulatory Affairs The candidate will support the network of company's broker/dealers and registered investment advisers with regulatory... and customer complaint matters. Will receive, investigate and respond to customer complaints and other allegations of potentially inappropriate activities by the company's associated registered representatives and Investment Advisor... Representatives, and coordinate responses... to inquiries received from various regulatory... 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 Counsel - Investment Consulting The candidate will... support SEC-registered investment advisor business and other... consulting practices. Will provide day-to-day counsel to company's Investment Consulting business on general... commercial contracting, regulatory compliance and dispute resolution matters. Draft and negotiate various types of commercial agreements relating to the Investment Consulting business (such as... service agreements and consulting agreements). Be a strate... 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 - Private Equity (Real Estate and Private Equity) The candidate will structure and negotiate private equity and real estate investment opportunities (including commingled funds,... co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and... charitable foundations. Will negotiate distribution agreements, engagement letters, side letters and confidentiali... 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
Assistant General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds,... co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and... charitab... 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 – Managed Accounts Responsibilities: Will interact on a regular basis with senior product leaders, Compliance, Technology and Controls groups as well as with Legal colleagues. Provide legal advice regarding CWM's offering of discretionary fee-based investment solutions managed by Bank,... . as governed by OCC Regulation 9 and fee-based investment advisory solutions offered by... company's Securities LLC as a SEC registered investment advisor under th...... 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 Counsel The candidate will provide legal advice to the registered investment advisor and brokerage... businesses in the United States. Will support brokerage and investment adviser activity within the... US operations of company and subsidiary in the latter case supporting the distribution aspects of the company and institutional sales activities. Exercise independent legal judgment on investment management and broker dealer... regulatory and contractual issues, balanced again... 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
Investment Management/Services Attorney Responsibilities:... Representing registered investment companies and their... independent... board members, registered investment advisor, sponsors to... unregistered... investment pools, as well as... family offices; Creating registered investment companies and registering... new... investment advisors; Assisting with all... aspects of investment company and investment advisor... securities regulations, including preparing... regulatory filings and applications; H... 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
Investment Management Attorney The candidate... will recognize the value proposition that “big firm†quality work, in a streamline boutique setting, which achieves successful and cost-effective results, drives business development. Should have 7+ years of Investment Management experience including: the... representation of hedge funds, CPOs, registered investment advisors, broker dealers... and... other trading industry participants in the areas of fund formation, commodities, propr... 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