RIAs, and private funds. - Act as underwriters counsel on... Interpret and apply federal securities laws, including the Securities... Exchange Act of 1934,... Investment Advisers... Act of 1940, and Investment... Company Act of 1940. - Handle ADV/Form... BD/Form PF filings, and ongoing...
The following jobs are no longer active but were real openings previously posted by employers.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Note: This job is no longer active.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
Investment Management Associate The candidate will advice regarding federal securities laws and forms, including... the Investment Company Act of 1940 and the... Investment Advisers Act of 1940. Prepare and... review of regulatory filings for investment company and investment adviser clients. Understand of corporate law and proficiency in drafting basic corporate documents. Provide support to investment company board of directors and coordination with investment company service provi... 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Note: This job is no longer active.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
Competitive salary commensurate with experience. Law Firm Investment Management Associate Law Firm is looking for an experienced attorney to join its Investment Management Practice Group. The successful candidate will have a . from an ABA accredited law school and be admitted to practice or eligible for admission to practice in the State of Wisconsin. The position offers a competitive salary commensurate with experience. The Investment Management Associate... 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
to work independently and as part of a team Salary and Benefits Godfrey & Kahn, . offers a competitive salary and benefits package to our Investment Management Associates. # Investment Management Associate Law firm Godfrey & Kahn, . is looking for an experienced attorney to join their Investment Management Practice... 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 5: Bank Fiduciary & Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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: Bank Fiduciary and Transfer Agency Activities Duties: Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which may include transfer agency activities pursuant to the Securities Exchange Act of 1934,... Recordkeeping and Confirmation Requirements... pursuant to 12 CFR 12, and Fiduciary Activities of National Banks pursuant to 12 CFR 9.. Provide oversight, guidance and cre... 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
agency, insurance company, regulator or self-regulatory organization with demonstrated financial services experience. The candidate will provide advice regarding federal securities laws and forms, including... the Investment Company Act of 1940 and the... Investment Advisers Act of 1940. Will serve... 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
firm, financial institution, government agency, insurance company, regulator, or self-regulatory organization with demonstrated financial services experience. The candidate will advise regarding federal securities laws and forms, including... the Investment Company Act of 1940 and the... Investment Advisers Act of 1940.... 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
financial institution, government agency, insurance company, regulator, or self-regulatory organization with demonstrated financial services experience. The candidate will be advised regarding federal securities laws and forms, including... the Investment Company Act of 1940 and the... Investment Advisers Act of 1940... 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
financial institution, government agency, insurance company, regulator, or self-regulatory organization with demonstrated financial services experience. The candidate will be advised regarding federal securities laws and forms, including... the Investment Company Act of 1940 and the... Investment Advisers Act of 1940... 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