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Registered Investment Advisor Jobs in Marlboro

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United States
Posted On Sep 28, 26
Full-time 1 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Job Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as a... legal advisor to one or more... registered investment advisers that manage... investment vehicles, including funds registered under the Investment Company... issues arising under the Investment Advisers Act of 1940,... including governance,...

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The following jobs are no longer active but were real openings previously posted by employers.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

Securities/Investment Management Paralegal The candidate will join a busy securities/investment management practice. Paralegal certificate or Bachelor’s degree is strongly recommended. Must have the ability to manage multiple projects simultaneously. Strong computer skills including experience with various client relationship management (CRM) software and email archiving systems utilized by registered investment advisors/financial professionals is... preferred. EDGAR experien... 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 Senior The candidate will be responsible for: Giving legal advice and support to loan product managers, relationship managers, business development officers and paralegals on asset-based lending matters of varying complexity; Leading a group of US and UK-based lawyers supporting Business Credit, Business Credit UK, Steel City Funding and other related entities; Proactively assisting in the professional development, career growth and management of the individ... 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 Counsel The candidate will support more than one business line, with a primary focus on the Retirement, Health, and FuturePlan divisions, which service 401(k)s, IRAs, health savings accounts, and other tax-advantaged savings plans. Will provide legal counsel to executives across the business units and shared services functions. Key job responsibilities include acting as subject matter expert in relevant areas of law; negotiating and drafting contracts; suppo... 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 Counsel The candidate will support more than one business line within 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 Duties: Sets team objectives, goals, and action plans. Provides legal counsel, compliance guidance and interprets complex federal and state laws to support new product development, new product advertising, product management, and sales and marketing. Works proactively with business partners to identify legal issues and manage risk within their specialized area(s) of legal practice. Frequently manages external counsel on outsourced legal initiatives... 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

Securities Attorney The candidate should have 3+ years of experience representing Registered Investment Advisors in registration... and ongoing regulatory compliance. Experience with ERISA, as applied to RIA’s, Broker-Dealers, private funds and hedge funds preferred.... 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

Senior Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940.... Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered... investment advisors. Additionally, responsibilities... include... conducting registered office inspections; administering Code... of Ethics reportin... 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

Senior Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940.... Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered... investment advisors. Additionally, responsibilities... include... conducting registered office inspections; administering Code... of Ethics reportin... 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

Senior Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940.... Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered... investment advisors. Additionally, responsibilities... include... conducting registered office inspections; administering Code... of Ethics reportin... 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

Senior Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940.... Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered... investment advisors. Additionally, responsibilities... include... conducting registered office inspections; administering Code... of Ethics reportin... 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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