Registered Investment Companies Jobs in Thiensville

Compliance Consultant 5 The candidate will lead the establishment, expansion and documentation of the Risk & Compliance international oversight and testing programs. Will lead and coordinate with additional Risk & Compliance team members the organizational efforts to ensure compliance of the operations of the bank’s Asset Management Luxembourg, a Chapter 15 management company registered with the CSSF and... related international operational efforts. This international lead wi... 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Note: This job is no longer active.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 The candidate will work within Asset Management (WFAM) Funds Management Group (FMG). Will report directly to the Chief Compliance Officer of company Funds Distributor. Will lead and coordinate with additional Risk and Compliance team members the organizational efforts to ensure compliance of the operations of 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Note: This job is no longer active.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 The candidate will join the PCG Legal Group to provide legal advice. Will report directly to an Associate General Counsel, PCG . Will advise with regard to provision of investment adviser or subadvisory services... to registered mutual fund families. Exercise... independent legal judgment on investment management issues, balanced against... business risk and policy considerations in consultation with management. Primarily responsible for providing legal support to t... 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Note: This job is no longer active.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. SVP, Compliance Director - Funds The candidate will be responsible for implementation of the mutual fund compliance program to ensure its regulatory and fiduciary obligations are met. Serve 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/Assistant General Counsel Duties: Analyzing SEC rule proposals and adoptions applicable to investment companies and registered investment advisers, advise our... business clients on requirements and risks, and serve on project teams to implement such rulemakings. Assisting in preparing regulatory filings on behalf of the mutual fund and its registered investment adviser including registration... statements, prospectus supplements, shareholder reports, proxy statements, ADV... 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

Investment Company / Investment Advisers... Act Attorney The candidate will be a member of the Department's Investment Products and Advisory Services... Team and will primarily focus, as part of a sub-group of lawyers and paralegals and working closely with the company's compliance professionals, on supporting proprietary mutual fund complex that serves as an investment option for variable insurance... products and the registered investment adviser for that... complex,... which also has ce... 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

**1940 Act Attorney (Remote)** . Bank is looking for an experienced 1940 Act Attorney to join their regulatory administration group. The successful candidate will have two years to more than twenty years of experience working with mutual funds or ETFs registered under the Investment Company... Act of 1940. This role offers the opportunity to work remotely. **Qualifications:** - Law degree - Licensed to practice in the applicable jurisdiction **Preferred Skills/Expe... 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 & Assistant Secretary/Investment Products & Advisory Services (IPAS) Regulatory Attorney Duties: Provide legal advice to our retail investment businesses as part of... the Investment Products and Advisory Services... team in the Law Department. Working with other team members, will provide legal counsel to our federal savings bank (which provides investment advisory and trust services... to retail investors) and our dual registered broker-dealer and investme... 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

Investment management company seeks ‘40Act... manages billion in registered exchange traded funds and... mutual funds. This person will work with the general counsel and paralegals on registration statements, contract review, sub-advisor due diligence and compliance related functions. Candidate may... 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