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Investment Advisers Act Of 1940 Jobs in New Albany

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United States
Posted On Sep 22, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements fiduciary fiduciary duty FINRA Government Investment Advisers Act of 1940 investment management marketing special projects wealth management
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements fiduciary fiduciary duty FINRA Government Investment Advisers Act of 1940 investment management marketing special projects wealth management

Counsel for Wealth Management Investment Solutions (VP) in Asset... & Wealth Management Job Responsibilities: - Provide strategic and day-to-day legal counsel on discretionary and non-discretionary advisory strategies for various programs distributed in the . and internationally. - Advise on the creation, maintenance, and...

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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Note: This job is no longer active.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

Corporate Investment Counsel The candidate should... have 6+ years of experience working on matters related to ETFs, mutual funds, closed-end funds and investment advisers. Experience working with... boards, SEC filings and complex Investment Company Act of 1940... issues is a plus.... Should have a superior academic record, strong work ethic and excellent writing skills.... 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 - Consumer Banking and Wealth Management - VP The candidate will provide guidance and counsel on a wide variety of issues related to the business as a whole include advisory and brokerage products, services and operations. Will work closely with a variety teams, as well as Compliance, sales management, attorneys representing other lines of business, and operations. Should have a . degree and Bar membership. Must have 5+ years of experience at a l... 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

Primary Responsibilities • Provide legal and regulatory support to Meeder and its subsidiaries, as well as to the Meeder Funds. • Work with senior business executives on new product development; product distribution and marketing; corporate governance of the Meeder Funds; and transfer agency. • Work with outside counsel, as needed, in order to resolve complex issues arising under the Investment Advisers Act of 1...... 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

Executive Director/ Assistant General Counsel - Chase Wealth Management The candidate will work closely with the Product team, as well as Compliance, sales management, attorneys representing other lines of business, and operations. Should have 10 years of experience to provide ongoing guidance and counseling on a wide variety of issues related to the Investment Advisers Act of 1940... and brokerage products, services... and operations. Must have broad experience, problem solving s... 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 Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Executive Director/ Assistant General Counsel - Chase Wealth Management The candidate will work closely with the Product team, as well as Compliance, sales management, attorneys representing ot... 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

Paralegal Specialist Responsibilities: Provide exclusive support to the Investment Management Group Fund Governance... Team, which is responsible for managing all aspects of the NIMG board reporting process for Boards of Trustees and the Audit Committee, Nominating & Fund Governance Committee, Valuation & Operations Committee, and Investment Committee of the Board... (collectively, the Board Committees), first and foremost by “producing” all of the Meeting Materials that are p... 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- Assistant General Counsel- Consumer Banking and Wealth Management- Vice President The candidate will work closely with a variety teams, as well as Compliance, sales management, attorneys representing other lines of business, and operations. Should have 5+ years’ experience at a law firm and/or in-house legal department at a large bank or other financial services company with demonstrated experience managing increasingly complex matters. Experience in the investment... 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

- AGC - Wealth Management Professional The candidate will provide ongoing guidance and counseling on a wide variety of issues related to offering of brokerage products, fee-based programs and related services and operations. Will work closely with the WM Product team, as well as Compliance, Risk, sales management and attorneys representing other lines of business, and operations. Should have a . degree or equivalent and admitted to practice law in the US. Must be a... 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 Vice President -Senior Counsel- Chase Wealth Management The candidate will be responsible for providing guidance and counselling on a wide variety of issues related to the business as a whole, including advisory and brokerage products, services and operations. Will work closely with a variety teams, as well as Compliance, Sales Management, attorneys representing other lines of business, and Operations. Must have 3+ years of experience at a law firm and/or in... 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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