- DLA Piper (Austin, TX)
- …seeking a securities lawyer with 6+ years of experience managing structured securities offerings for our Investment Funds Group. We are looking for ... are applying **Experience** + Minimum 6 years of experience managing structured securities offerings. + Direct and applicable AmLaw 100 law firm experience… more
- Edward Jones (St. Louis, MO)
- …part of a team focused on delivering solutions. The key responsibilities of the Associate General Counsel III, Alternatives Investment Advisory Attorney are ... support to leaders across the Firm related to our investment advisory platform and programs particularly in our expanding...and interim updates as necessary + Interact with outside counsel to identify, evaluate, and resolve complex or unique… more
- Edward Jones (St. Louis, MO)
- …of 10 years of progressive responsibility as an attorney working in house at a securities broker dealer or investment advisory; law firm; or regulatory body. + ... colleagues involving broker-dealer rules and regulations under the federal securities laws, including the Securities Act of...of 1933, the Exchange Act of 1934, and the Investment Advisers Act of 1940 + Partner closely with… more
- T. Rowe Price (Owings Mills, MD)
- …difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today ... career with us. About this Position As Managing Legal Counsel for US Collective Funds, you will lead a...issues and legal questions posed by business units and investment staff with respect to matters related to the… more
- T. Rowe Price (Owings Mills, MD)
- …Advisers Act of 1940 and related regulatory regimes (eg, Commodities Exchange Act, Securities Act, Exchange Act, Investment Company Act) Preferred: + Experience ... are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can...career with us. About This Position The Managing Legal Counsel (MLC) will be a member of the Global… more
- SMBC (New York, NY)
- … will work within the Legal Department and report to the Managing Director, Associate General Counsel . **Role Objectives** + Provide US bank regulatory advice to ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Thrivent Financial (Albert Lea, MN)
- …for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed ... research or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg… more
- Wells Fargo (Charlotte, NC)
- The Structured Products Group (SPG) within Wells Fargo Corporate Investment Bank is looking for an Associate to join in New York or Charlotte. The candidate will ... with CLO issuers and asset manager clients, investors, rating agencies, legal counsel , and internally with syndicate and sales, middle office and operations… more
- T. Rowe Price (Owings Mills, MD)
- …difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today ... team closely monitors firm and entity level aggregate ownership in equity securities to ensure compliance with various federal, state, and global regulatory limits… more
- DuPont (Cleveland, OH)
- … + High school diploma, GED, or equivalent is required; an Associate 's or Technical Degree in Machine troubleshooting and repair or related maintenance ... companies. This strategic move will create focused businesses with distinct investment profiles. We believe the proposed separations will create opportunities for… more