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United States
Posted On Sep 08, 26
Full-time 1 views Experience : 4-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management ETFs family finance investment management mergers Mutual Funds SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management ETFs family finance investment management mergers Mutual Funds SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Legal Counsel Job Responsibilities: - Serve as a trusted legal advisor within the company's Legal team, providing practical, business-focused legal guidance on registered investment products and related regulatory matters. - Partner closely with colleagues across Product, Investments, Compliance, Finance, Distribution, and other...

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The following jobs are no longer active but were real openings previously posted by employers.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.

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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Note: This job is no longer active.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

The candidate will work in an asset management company that is part of a global insurance and financial services organization. Will be responsible for handling a full range of legal and regulatory matters relating to the insurance mutual funds managed and/or administered by the company. Provide legal support and assistance to the Deputy General Counsel and other in-house lawyers in the provision of legal advice with respect to the insurance mutual funds. Prepare mat... 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 - 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

General Counsel The candidate will be responsible for: Provide support on a wide range of legal and regulatory issues arising from the company’s retirement businesses including: plan acquisition and administration, annuity product development and distribution, retirement services and other agreements, broker dealer and investment advisor operations, transfer agent operations, and defined contribution retirement plan compliance. Work collaboratively across the organ... 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

Compliance Officer Consumer Distribution (US) Duties: Support implementation and sustainability of the compliance program for DOL Fiduciary Duty Rule including: Implementation of a program to meet the requirements of monitor and track compliance with DOL fiduciary regulations, including: Revise all policies and procedures to incorporate fiduciary analyses. Design new sales compliance processes. Development of compliance training for sales, relationship management and c... 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 Treasury Duties: To provide legal support to Group Treasury, primarily in the United States. This position will be based in Houston, Texas. Provides legal support to the BP Treasury function, which is located in London, Houston, Chicago and Singapore. Provide legal support to US based Treasury teams but will also support Treasury for US law-based transactions originating out of other locations. Provides legal support in selected areas for other group clients... 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 Duties: Serves the primary in-house counsel providing guidance on all legal matters including, complex merger and acquisition transactions, SEC compliance and regulatory risk matters, and corporate governance and policies. Reporting to the Chief Executive Officer, will provide leadership on legal and regulatory issues impacting business operations and strategies. Serving as legal and compliance subject matter expert and counselor on all regulatory issues. Res... 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

Attorney The candidate will provide guidance on legal matters including complex merger and acquisition transactions as well as SEC compliance and regulatory risk matters. Assist in researching, drafting, negotiating and advising contracts and related transactions. Lead due diligence efforts and assist with post-deal integration. Advice on mergers, acquisitions and general corporate governance matters. Provide guidance on all issues related to SEC and FINRA rules an... 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

Attorney, Mergers & Acquisitions The candidate will assist in researching, drafting, negotiating and advising contracts and related transactions. Assist in due diligence efforts and post-deal integration. Advise on mergers and acquisitions and general corporate governance matters. Maintain a current working knowledge of new laws and regulatory developments. Perform other duties as assigned. A Juris Doctor (.) and 1- 3 years of transactional experience in a law 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

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