Retail Investments Lawyer Jobs

... Duties: Serves as key U.S. Retail Bank product compliance risk manager ... (ICRM) program for the U.S Retail businesses in line with and ... across all of the U.S...

Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..

Tax Accountant, Tax, Global Compliance And Reporting Senior The candidate will be responsible for: Provide clients with tax guidance and planning related to tax compliance and reporting. Focus on tax consulting, ..

Managing Director, Associate General Counsel The candidate will serve as the general counsel of dually registered broker-dealer and registered investment adviser. Provide legal advice and guidance to help achieve and advance ..

Lead Counsel: WIM - Retail Brokerage The candidate will provide ... include providing legal advice to retail brokerage businesses in the areas ... standards for product distribution to retail customers,..

Investment Management - Enforcement Associate or Senior Associate The candidate should have 3-5 years of experience providing regulatory counselling to investment advisers, registered investment companies and wealth management businesses (including retail ..

VP, Assistant General Counsel -- ERISA/Fiduciary Advisory The candidate will be providing advice, explanation and assessment of ERISA/retirement legal risk to senior legal, business management, risk, supervisory/control and compliance teams and ..

Compliance Product Officer – Insurance and Annuities The candidate will be responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and ..

Asset Management Attorney, Vice President The candidate should have 3 years’ experience at a top law firm or in-house focused on the Advisers Act – robo investment advice and ERISA experience ..

Fiduciary Initiatives Manager The candidate will include analyzing and implementing regulatory changes, enabling platform enhancements, designing new product offerings, and managing other aspects of a fiduciary relationship. Analyze the potential impacts ..

Lead Counsel - Wealth and Investment Management Investment Solutions The candidate will serve as senor lawyer advising the business on a complex offering of investment advisory wrap fee programs to retail ..

Compliance, US Consumer Privacy, Associate / Vice President The candidate will be reviewing and assessing products, features and business activities against privacy requirements and standards. Developing strategy and procedures for responding ..

Job Overview: A prominent law firm is seeking a highly motivated Real Estate Associate with 1 to 3 years of experience to join its Real Estate Investments and Transactions Department. This ..

Job Overview: A prominent international law firm is seeking a Mid-Level Real Estate Associate Attorney for its New York office. The position involves a diverse range of sophisticated real estate transactions ..

Global Financial Solutions - Vice President The candidate will work on deals teams to source, structure, and execute sophisticated lending transactions with asset managers, sponsors and Fortune 1000 corporate clients in ..

Tax Accountant, Tax, Global Compliance And Reporting Senior The candidate will be responsible for: Provide clients with tax guidance and planning related to tax compliance and reporting. Focus on tax consulting, ..

Vice President Bank Regulatory and Treasury Duties: Providing legal support across a range of team coverage. Funding, liquidity and capital management projects. Documenting, drafting and coordinating with relevant colleagues (e.g. Corporate ..

Job Overview: A highly regarded law firm is seeking an associate attorney with 3 to 5 years of experience to join its Investment Funds Group, focusing on Registered Funds. This role ..

Assistant General Counsel, Banking The candidate will work extensively with the team at firms Bank USA, the firm’s $120B US bank, to support existing and new business initiatives and other projects, ..

Assistant General Counsel - Legal The candidate will provide guidance and expertise on the applicability of federal and state banking laws and regulations to banking products and services, including the Truth ..