- Edward Jones (St. Louis, MO)
- …providers + Accountability for the performance and results of some functions within the Investment Advisory Compliance department's scope of work At Edward ... to support the continued growth of Edward Jones' retail investment advisory business and our commitment to... Compliance and across the organization (eg Operations, Investment Advisory Platform Management, Legal and Risk)… more
- DAI (Bethesda, MD)
- …+ Develop and oversee effective compliance programs for DAI Asset Management investment advisory activities, including US Investment Advisors Act and ... ** Counsel (Funds Lawyer)** City/Country Location Details **Bethesda, Maryland**...and related trading issues + Advise on registration of investment fund products in other jurisdictions. **Regulatory Compliance… more
- CrossBoundary (Washington, DC)
- …capital for sustainable growth and strong returns in underserved markets. CrossBoundary Advisory provides transaction and investment advisory services having ... Senior Counsel Group & Advisory CrossBoundary Group...Legal Team About the Firm CrossBoundary is a mission-driven investment and advisory firm that unlocks the… more
- BlackRock (New York, NY)
- …world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, ... Compliance team works with business teams to develop investment management products and business solutions that comply with...full range of deal documentation. + Manage external deal counsel , in conjunction with the investment team,… more
- TD Bank (New York, NY)
- …Legal Counsel providing advice related to a range of investment banking and capital markets activities including related to securities underwriting, capital ... financial institution clients. **Primary responsibilities include** **:** + Transactional and advisory support to investment banking, debt and equity capital… more
- Thrivent Financial (Minneapolis, MN)
- …tax, securities, broker-dealer, investment company and investment advisory law. Provide well-reasoned, concise counsel on legal risks associated ... advise on, and prepare documentation related to regulatory and compliance matters. In addition, this position will provide a...corporate actions, and similar. + Engage and oversee outside counsel ; serve as liaison between outside counsel … more
- Aristotle Capital Management (Newport Beach, CA)
- …of issues related to fixed income investments, securities laws, and regulatory compliance . + Collaborate with internal stakeholders, including investment teams, ... equity and fixed income portfolio management for institutional and advisory clients worldwide. Our mission is to help our... members to provide legal guidance and support on investment , risk management and compliance /regulatory matters. +… more
- Janus Henderson Investors (Denver, CO)
- …sole discretion). You should be willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other ... hear from you! Your opportunity + Provide advice, review, and negotiate investment management and advisory agreements, including side letters with institutional… more
- AECOM (Dallas, TX)
- …has never been a better time to be at AECOM. With accelerating infrastructure investment worldwide, our services are in great demand. We invite you to bring your ... Los Angeles, CA or Dallas, TX._ The primary responsibilities of the Senior Corporate Counsel will include a critical role in and/or leadership of the following: +… more
- JPMorgan Chase (New York, NY)
- …primary legal contact for guidance related to certain financial products, including investment advisory programs and brokerage products and their distribution. + ... in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction. All… more
- Bechtel Corporation (Reston, VA)
- …Manufacturing and Technology markets. Our services span from initial planning and investment , through start-up and operations. Core to Bechtel is our values ethics, ... Under the overall supervision of the GBU's Head of Legal, the Senior Counsel will usually work on transactions independently with the GBU Business Development and… more
- JPMorgan Chase (New York, NY)
- …Description** JPMorgan's Legal team seeks an experienced attorney to be Global Shares' Advisory Lead for North America. Founded in 2005 and acquired by JPMorgan in ... regulators, working with Global Share management and other functions such as Compliance as required; + Help to monitor relevant legislation and regulations affecting… more
- Truist (Winston Salem, NC)
- …for retail wealth financial institutions, including experience with retail broker-dealer, investment advisory and bank trust services matters, including FINRA ... oral argument, settlement negotiations, trials or arbitrations, and budget management in compliance with outside counsel guidelines. 3. With minimal supervision,… more
- Robert Half Legal (Chicago, IL)
- …of client accounts by analyzing investment advisory contracts and investment guidelines, coding automated compliance tests into a CRM and coordinating ... with a financial regulator or previous oversight of a compliance program within a substantial regulated investment ...standards + Mange the process and consult with outside counsel and compliance consultants as directed on… more
- Truist (Charlotte, NC)
- …examinations and inquiries pertaining to the private fund complex.** + ** Compliance advisory support for client/prospect materials (eg, PPMs, factsheets, ... review the following job description:** Responsible for conducting and directing compliance risk oversight of assigned business units and/or functions. Leads and… more
- Ankura (Dallas, TX)
- …that collaboration drives results. This position supports the Ankura Risk, Forensics & Compliance practice - one of six practices focused on client delivery services ... Ankura's National Security, Trade & Technology team in the International Trade Compliance area. Responsibilities + Working both independently and with team members… more
- Equitable (Syracuse, NY)
- …retirement, life, employee benefits business areas as well as brokerage and investment advisory accounts. + Input complaint information in Company's centrally ... Customer Relations Compliance Professional ( 2400009P ) **Primary Location** :...Law Department's Mission is to serve as Equitable's trusted counsel empowering Equitable to pursue its noble purpose by… more
- NJEDA (NJ)
- …innovation economy, including innovation financing; venture capital and angel investing; fund investment and management; fund governance and advisory board level ... leader and industry expert on a portfolio of 10+ capital investment , innovation, and entrepreneurship products and initiatives, with an anticipated annual… more
- Bank of America (Cincinnati, OH)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- TD Bank (New York, NY)
- …support on Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) matters. The Advisory team supports the AML compliance framework by providing guidance ... AML Financial Crime Risk Oversight Specialist will provide AML compliance support for all aspects of the TD Securities...the Head of AML, as applicable. + Provide AML/sanctions advisory services to TDS USA business lines and the… more