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: 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...
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...
business, including SEC, CFTC, FINRA, NFA requirements. - Advising 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...
Title: Wealth Management Attorney - Vice President, Assistant General Counsel Job Responsibilities: - Serve as the primary 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...