Registered Investment Advisor Jobs in Sharon

Manager The candidate will manage all aspects of the development, implementation and maintenance of effective compliance programs for assigned processes and business lines and provide consultative support and advice to business line management regarding complex compliance and business concerns. Will identify, assess, implement and communicate regulatory issuance and when necessary, update policies and procedures for adequacy and accuracy and manage the preparation... 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Note: This job is no longer active.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

Manager II Duties: Manage all aspects of the development, implementation and maintenance of effective compliance programs for assigned processes and business lines. Provide consultative support and advice to business line management regarding complex compliance and business concerns. Identify, assess, implement and communicate regulatory issuances and when necessary, update policies and procedures for adequacy and accuracy. Manage the preparation for and the ong... 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Note: This job is no longer active.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. Deputy Chief Compliance Officer, CCO Investments Duties: Will collaborate with the respective Business Unit Risk Managers, and Senior Business Management to foster an open and honest risk manag... 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

Chief Compliance Officer, Wealth Management Duties: Partners and collaborates for success with Business management, Business Unit Risk Management, Legal and RBS-CFG Compliance colleagues to ensure timely identification, mitigation, resolution and reporting/escalation of existing, emerging and upstream regulatory risks and issues. Drives a culture of accountability and compliance, and works with Business Units to ensure compliance with applicable laws, rules, regulatio... 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

Associate The candidate should have 1-3 years of experience to work. Responsibilities include legal research, drafting, editing and proofreading legal documents, correspondence, and pleadings; working with complex digital and paper client files; assisting in preparing for depositions, mediations, arbitrations, and/or trials; working with a paralegal to maintain the firm calendar with deadlines for each case pursuant to applicable state, federal and/or local rules; inv... 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 Duties: Advise executive management and ensure compliance within the line of business with all applicable consumer protection laws, rules and regulations relevant to full service national financial institution. Advise executive management as well as control function colleagues on securities regulations that apply to introducing brokers and registered investment advisors. Assist in... connection with submission of regulatory filings and prudential examinations. Mo... 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 General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds,... co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and... charitab... 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 General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds,... co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and... charitab... 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 General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds,... co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and... charitab... 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 Officer, Wealth Management The candidate ‘will work on synthesizing and documenting changing regulations and assisting with training and audits to ensure compliant operations of the Division’s legal entities, which include an SEC Registered Investment Adviser (**Members Only.** Company’s Trust and Investment Department. Should have a... minimum of 5 five years compliance or regulatory experience as it pertains to 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