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Etfs Jobs in Cortlandt

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United States
Posted On Aug 21, 26
Full-time 3 views Experience : Min 15 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

Title: Chief Compliance Officer Job Responsibilities: - Design, implement, and maintain a comprehensive compliance program covering Registered Investment Adviser (RIA), Broker-Dealer (B/D), and 40 Act registered fund obligations, including all policies, procedures, testing, and supervisory controls. - Monitor proposed SEC,...

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers.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

  • ✅ LawCrossing has monitored employer hiring for 25+ years
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Funds Counsel The candidate will assist in structuring and growing the firm's registered funds business and to provide legal support for all company-sponsored registered funds and sub-advisory relationships and other associated products. Will work closely with senior management, fund administration and the compliance team. Handle regulatory issues and general legal matters. Provide legal advice and support on issues relating to registered funds and sub- advisory 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Note: This job is no longer active.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

Attorney The candidate will provide legal advice and support on issues relating to registered funds and sub- advisory relationships; potentially assist in the creation of new products, such as closed-end funds and actively-managed ETFs; preparation and filing of... annual updates and registration statements for new funds and existing series as well as all other required filings; assist in preparation of materials for, and the coordination of, mutual fund board meetings; draft o... 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

Registered Funds Counsel Duties: Provide legal advice and support on issues relating to registered funds and sub- advisory relationships. Potentially assist in the creation of new products, such as closed-end funds and actively-managed ETFs. Preparation and filing of... annual updates and registration statements for new funds and existing series as well as all other required filings. Assist in preparation of materials for, and the coordination of, mutual fund board meetings.... 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

Coverage Attorney for Mutual Funds and other Registered Products Duties: Will be part of a team of lawyers who support the Investment Solutions business which includes traditional registered investment products (., mutual funds, ETFs, unit investment trusts, closed... end funds, 529 plans) as well as insurance and annuities products. Will have significant interaction with Investment Solutions business personnel, and will work closely with the other lawyers on the legal cover... 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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