Title: Senior Legal Counsel Job Responsibilities: The Senior Legal Counsel at the company will serve as a senior member of the legal function, providing strategic advice and leadership to support critical business initiatives in a fast-paced and high-stakes environment. The primary responsibilities...
company's FX Markets, LLC, the company's SEF, LLC, a swap execution facility regulated by the Commodity Futures Trading Commission (CFTC), and the company's Fixed Income Markets, LLC, a broker-dealer regulated by the Securities... and Exchange Commission (SEC) and FINRA. Th...
Title: 40 Act Attorney Job Responsibilities: The 40 Act Attorney at the company will be responsible for several key duties related to registered investment products, including privately offered business development companies (BDCs), non-traded BDCs, and non-listed real estate investment trusts (REITs). The...
Title: US Advisor Attorney-Vice President, Assistant General Counsel Job Responsibilities: - Manage legal coverage for the . Funds Management business. - Oversee the creation and management of mutual funds and exchange-traded funds. - Advise on regulatory developments and their implementation. - Provide legal support to...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: - Advise on a wide array of legal and regulatory matters concerning the formation, structuring, distribution/marketing, and operation of private funds. This includes preparing and negotiating private placement memoranda, partnership agreements, term...
on activities of limited-scope broker/dealer and retail-adjacent activities of... the investment adviser, including licensing, marketing, and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters related to . distribution...
legal contact supporting the broker-dealer and investment advisory products,... services, and sales channels for retail businesses within . Morgan Wealth Management. - Advise on a wide range of projects and initiatives that help define retail Wealth Management businesses. - Provide timely and...
Title: Tax Partner - Capital Markets - Financial Services Job Responsibilities: As a Tax Partner within the Capital Markets practice, you will work on a variety of capital market clients, focusing on the taxation of financial products and investment vehicles....
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess a working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed. This may also involve reviewing work conducted by Associates. - Participate in state money transmission license...
Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Manage and handle complex Employment Practices Liability Claims to determine appropriate valuation, settlement strategies, and ensure adherence to company policies. - Attend mediations and monitor trials as necessary to resolve disputes effectively. - Draft coverage...