Legal Adviser Jobs

Old National Bank - Chicago, IL / Evansville, IN / Indianapolis, IN / 3 more...

areas of the bank as needed Provide legal advice on the Investment Advisers Act, Regulation R, fiduciary activities of national banks, and OCC requirements for retail non-deposit investment products

from: milwaukeejobs.com - 9 days ago

Northwestern Mutual - Milwaukee, WI

and with changing mutual fund sub-advisers. To qualify, this candidate must be able to analyze a variety of legal issues, synthesize complex information, and provide solution-oriented legal advice to business

from: milwaukeejobs.com - 14 days ago

In House Jobs | JDHuntr - Boston, MA

. *Provide advice on legal and regulatory issues impacting investment advisers, particularly those that are dually registered. $144,400.00 - $300,000.00 in house jobs, general counsel jobs, go in house

from: get.it - More than 30 days ago

In House Jobs | JDHuntr - Los Angeles, CA

to the company on matters related to the Investment Adviser's Act of 1940 and other relevant financial regulations. *Offer legal guidance on marketing materials, client communications, and promotional activities

from: get.it - More than 30 days ago

Intercontinental Exchange Holdings, Inc. - New York County, New York

with applicable regulations (with an emphasis on the Investment Advisers Act). Assist in the preparation and review of external requests for information (DDQs RFIs and RFPs). Perform legal review of marketing

from: resume-library.com - 15 days ago

Candle - Los Angeles, California

your ideas will be every bit as valued as your legal expertise. What You’ll Do: Reporting to and working closely with the team’s Senior Legal Adviser based in London, you will work across and support

from: resume-library.com (+1 source) - 22 days ago

Midland States Bank - Rockford , Illinois 61108 , United States

a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function. Prior experience in Registered

from: jobtarget.com - 15 days ago

Direct Counsel, LLC - New York County, New York

, addressing concerns related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Conduct statutory and regulatory analysis, and apply legal expertise to guide decision-making. Draft

from: resume-library.com - 16 days ago

Revolut - Anywhere, United Kingdom (+1 location)

, Associate General Counsel, and Head of Legal, Corporate to provide corporate and strategic advice • Acting as a key adviser and partner to the CEO and Co-Founder, Nikolay Storonsky, the CFO, Board, C-Suite

from: Ivyexec.com - 22 days ago

Allspring Global Investments - Boston, MA / Charlotte, NC / Menomonee Falls, WI

agreements, legal documents, policies & procedures, and regulatory guidelines (e.g. Investment Advisers/Company Act, and other laws as applicable) Strong analytical skills with high attention to detail

from: milwaukeejobs.com - 19 days ago