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Registered Investment Advisor Jobs in Cornelius

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  3. North Carolina
  4. Cornelius
  5. Registered Investment Advisor

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United States
Posted On Aug 20, 26
Full-time 4 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

advice concerning applicable rules, regulations, and legal risks related to the brokerage and investment advisory business. - Collaborate... with a senior attorney on internal merger and acquisition projects, supporting conversions, and serving as a legal advisor to the business, com......

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Posted On Sep 16, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

controls related to Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the company's alternative investments platform, including compliance analysis and advice related to brokerage and investment advisory business. - Draft, review,... and revise agreements with alternative inv...

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Posted On Sep 16, 26
Full-time 3 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Securities and Capital Markets Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Securities and Capital Markets Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa

as a strategic legal advisor on corporate governance matters,... providing practical advice to trustees, directors, senior executives, and other stakeholders regarding applicable legal requirements, fiduciary obligations, governance practices, and board processes. - Hires, evaluates, and supervises personnel. Provides guidance and training...

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Posted On Sep 08, 26
Full-time 1 views Experience : Min 15 yrs required
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options

Title: Senior Vice President, Chief Privacy Officer Job Responsibilities: Enterprise Privacy Governance - Lead and continuously enhance the company's enterprise privacy and data protection program. - Establish and maintain privacy governance frameworks, policies, standards, and procedures that align with regulatory requirements and industry best...

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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
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

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

Counsel II - WIM, Investment Solutions COE The candidate... will be a junior attorney working with a more senior attorney to provide legal support to the following functions within Advisors, the retail brokerage line of business within WIM: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities offerings; (c) commodity futures trading and futures credit risk; (d) listed securities options; (e) market-linked securities and certificates... 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 III - Wealth and Investment Management Division The candidate... will become a member of the Business Support team within the Wealth Investment Management Division of the... Legal Department. Will specifically support the investment advisory activities of a... dually registered broker-dealer and investment adviser.... Work on a... number of different areas of the business responsible for offering one of the nation's largest wrap fee investment advisory platforms, and be... primarily 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

Registration Manager The candidate will oversee Registration functions for the three Broker Dealers associated with company Advisors. Reports to the Director of Registration and Employee Activities. Responsibilities include the development and execution of a robust registration compliance program supporting all business lines in Wealth Brokerage and Retirement. Manage a large staff of compliance registration professionals that support approximately 29,000 registered team mem... 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 - 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

Vice President, Associate Counsel Duties: Assist other attorneys in the department, including senior attorneys, Deputy General Counsel and General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s registered investment advisor (“RIA”) offerings.... Report to a Senior Vice President, Associate Counsel within the Legal Department’s Corporate group and will support investment adviser, retirement 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

President, Associate Counsel (Brokerage) Duties: Assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s brokerage offerings. Report to a Senior Vice President, Associate Counsel within the Legal Department’s Corporate group and will support broker-dealer, retirement and new product ma... 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

President, Associate Counsel ( Brokerage) Candidate will assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, with a focus on the company’s brokerage offerings. Will support broker-dealer, retirement and new product matters in particular. Responsibilities will include Contractual matters. Work with various business unit... 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

President, Associate Counsel ( Brokerage) Candidate will assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, with a focus on the company’s brokerage offerings. Will support broker-dealer, retirement and new product matters in particular. Responsibilities will include Contractual matters. Work with various business unit... 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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