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United States
Posted On Jun 26, 26
Full-time 13 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior Counsel will be responsible for supporting the legal and regulatory aspects of distributing registered investment companies and private investment funds. The role involves working...

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Compliance Director - Investment Advisory The candidate will provide investment advisory compliance coverage for company's Personal Wealth Management (PWM) and company's Personal Investments (PII) activities operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser... regulations, Group's fiduciary policy, and other relevant Group policies.... 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Note: This job is no longer active.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

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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 The candidate will be working on primary and significant public company securities reporting and compliance responsibility including Securities Act of 1933, Securities Exchange... Act of 1934 (10-Q, 10-K,... 8-K, proxy statements, Section 16 filings, etc.). Will be developing and maintaining policies and procedures to ensure compliance with SEC Regulations, Sarbanes-Oxley, Dodd-Frank, Regulation FD and other regulations applicable to public companies. Corporate governance,... 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

Regulatory Compliance Manager The candidate will be responsible for: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers... Act and other applicable regulatory... directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory... requirements. Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monito... 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 Litigation & Regulatory The candidate will provide legal guidance and advice on regulatory changes (particularly SEC and FINRA rules) and strategic business objectives impacting brokerage accounts, customer account opening and client lifecycle management issues. Will support Firms international expansion through the development of foreign carrying agreements and negotiations with counterparties. Manage and lead strategy for a diverse range of litigation and... 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

General Counsel Litigation & Regulatory The candidate will provide legal guidance and advice on regulatory changes (particularly SEC and FINRA rules) and strategic business objectives impacting brokerage accounts, customer account opening and client lifecycle management issues. Support Apex’s international expansion through development of foreign carrying agreements and negotiations with counterparties. Manage and lead strategy for a diverse range of litigation and... 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

Global Markets Marquee Attorney, VP Responsibilities: Advise on the operation, expansion, and marketing of the Marquee platform and services, including legal and regulatory analysis of new initiatives across digital services (data, analytics, and content) and asset classes (stocks, bonds, indices, derivatives, interest rate, and fx products) delivered through UIs and APIs. Draft commercial agreements for Marquee services, negotiate directly with clients (., hedge f... 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

Lead Regulatory Administrator The candidate will assist fund clients with the preparation of board minutes, the preparation and maintenance of registration statements, and related filings. Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of 1940 and Securities Act of... 1933, and 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

Legal Counsel at **Members Only.** is dedicated to helping investors worldwide achieve their financial objectives. To meet this goal, 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

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