- Equitable (New York, NY)
- Associate General Counsel - Registered Funds, Equitable Investment Management ( 2400008P ) **Primary Location** : UNITED STATES-NY-New York **Organization** : ... our New York, NY office. As an Associate General Counsel within the Equitable Investment Management Legal...to a wide range of stakeholders, including management, the investment team, compliance , fund administration, marketing, and… more
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs. **Job:** **Other* **Title:** *General Counsel Investment Research* **Location:** *New York-New York* **Requisition ... Assist Global General Counsel to Research in providing legal advice to...business unit and will work closely with the research compliance professionals. The secondee will be a member of… more
- NCR VOYIX (Atlanta, GA)
- …regarding fiduciary duties, pension investment issues and ERISA regulatory compliance and/or oversee outside counsel and advisor support regarding such ... to your local favorite around the corner. The ERISA Compliance , Benefits and Compensation Counsel works with...and administration + tock award agreements drafting + Proxy advisory and investor outreach preparation and support related to… 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
- 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
- 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
- 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 ... purchase and sales agreements, insurance, and other matters + Act in an advisory capacity making recommendations that may have an important bearing on the conduct… 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
- 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 ... ETFs, including drafting new disclosure and working with outside counsel on registration statement matters + Prepare and review...ETFs + Maintain and foster a strong culture of compliance + Carry out other duties as assigned What… more
- Charles Schwab (Phoenix, AZ)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... **Your opportunity** Investor Advice Solutions consists of Schwab Wealth Advisory , Centralized Service & Operations and Wealth Strategies Consulting Group.… more
- Morgan Stanley (Purchase, NY)
- …financial advisors located throughout the US. The Attorney will be part of an Investment Advisory legal team currently consisting of five attorneys and will be ... on the Position: Morgan Stanley Wealth Management's Legal and Compliance Division is seeking to hire a Vice President...The team serves as legal advisors to Morgan Stanley's investment advisory business, which is one of… 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
- Scotiabank (New York, NY)
- …work environment. **What You'll Bring:** + A minimum of 5-7 years of compliance experience, including experience providing advisory support to a FICC and/or ... Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00...Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the… 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
- 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 (Mobile, AL)
- …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)
- …closely with internal stakeholders, including investment bankers, product groups and compliance as well as external counsel . + Stay current of legal ... Senior Attorney, with substantial and broad expertise in M&A and other corporate advisory matters to join our dynamic legal team. As a senior attorney specializing… more
- Bank of America (Los Angeles, CA)
- …and the Internal Revenue Code, as well as experience with trust laws, the Investment Advisers Act, securities laws, FINRA and data privacy laws as they relate to ... + Provide day-to-day support to business personnel regarding operational and compliance matters, resolution of client issues, recordkeeping systems management and… more
- First Horizon Bank (Memphis, TN)
- …trading and consulting, asset liability management, portfolio accounting, and institutional investment advisory to assist with balance sheet management. **Job ... approach that ensures alignment with business objectives and rigorous compliance standards. The CIO will report to the FHN...and associates unlock their full potential with capital and counsel . With $81.7 billion in assets as of December… more