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Registered Investment Advisor Jobs in North Carolina

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United States
Posted On Sep 08, 26
Full-time 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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Posted On Aug 20, 26
Full-time 3 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 Jul 19, 26
Full-time Experience : 6-8 yrs required
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital

drafting reports, and manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to clients, including those advising private funds and registered products. - Lead complex projects... and develop client relationships, as well as oversee ACA junior staff. - Ser...

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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.

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# Director, Associate General Counsel ## Job Description The Director, Associate General Counsel will join TIAA’s Wealth, Advisory & Brokerage Services Law Team, which supports multiple registered investment advisors that provide... retail and institutional products and services, a wealth management business, 529 college savings programs, wrap fee program, gift administration services to charitable organizations and their planned giving programs, and related businesses and off... 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 Associate The candidate will do a representation of private investment fund managers, wealth managers,... mutual fund managers, family offices and public and private companies. Representation of registered investment advisors in all... aspects... of their business including formation, structuring, and regulatory compliance. General corporate representation, including corporate governance, commercial contract review and negotiation, board and stockholder consent drafting, 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

Corporate Counsel Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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 Responsibilities: Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the Company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve di... 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- Investment Management The candidate will... be providing legal support to the ISG investment advisory businesses on Investment... Advisers Act issues, particularly... with respect to “wrap fee” programs, including advising on new and existing programs and services. Will be counseling Managed Account Advisors, Merrill Lynch’s separately registered investment manager, which acts... as... an “overlay” manager in the implementation and execution of third party SMA models 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

Counsel - Private Equity The candidate will provide legal advice on organizational and transactional documents related to private equity / hedge fund formation, including fund-of-fund formation. Will structure private . and offshore investment funds. Advise the business... team in the development, structuring, and negotiation of direct private equity investments across a range of asset classes, including control investments, minority investments and partnering arrangements.... 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 and Transactional Attorney Duties: Report directly to the General Counsel and have significant hands on senior management interaction. Integral to the success of real-estate asset management business, with emphasis placed on management communication, transaction negotiation/consummation in a highly active acquisition environment and advice on general corporate initiatives including public reporting, operational business matters and related agreements. Draf... 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 Counsel, Private Equity Responsibilities: Advise the business team in the development, structuring, and negotiation of direct private equity investments as well as co-investment transactions. Structuring of private . and offshore investment funds. Have a familiarity... with the regulatory and operational aspects of representing an SEC registered investment advisor. Support a... range... of corporate governance functions and mergers and acquisitions matters related... 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 Counsel Responsibilities: Support its Alternatives and Private Equity team. Responsible for the day to day legal support of the Alternatives and Private Equity clients, and would initially report to the Head of the Private Finance & Alternatives Legal team. May be asked to manage other Attorneys and Legal Analysts within the group as the business team grows. Advise the business team in the development, structuring, and negotiation of direct private equity i... 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

with the following: Representation of private investment fund managers, wealth managers,... mutual fund managers, family offices, and public and private companies; Representation of registered investment advisors in all... aspects... of their business including formation, structuring, and regulatory compliance; General co... 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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