advice, including Regulation Best Interest, the Investment Advisers Act, and applicable FINRA rules and state securities... regulations. - Conduct legal, factual, and benchmarking research and prepare summaries of risk/legal analysis. - Review marketing, training, and other field-facing materials. - Assist with drafting v...
fund formations. Ensure compliance with SEC regulations and offer strategic advice on structuring deals. - Regulatory Compliance: Provide guidance on SEC, FINRA, and other securities regulatory... matters. Help clients navigate complex rules and mitigate risks. - Public Offerings and Securities Transactions: A...
on . and international securities laws and regulations, including the Investment Company Act, Exchange Act, Investment Advisers Act, and FINRA rules. - Offer advice and... counsel to the company's limited-purpose broker-dealer on compliance with FINRA rules and other regulatory... matters. - Draf...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will play a pivotal role in supporting the Wealth Management Division at the company. Reporting directly to the Senior Associate General Counsel, Head of Wealth Legal, this position involves providing comprehensive legal...
Title: Vice President, Associate General Counsel Job Responsibilities: - Provide legal, regulatory, and strategic advice and counsel to the Fidelity Digital Asset Management team on all aspects of the company's cryptocurrency and blockchain products and services business. - Advise the Fidelity Digital Asset...
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and stakeholders on a wide range of legal and compliance issues within the Bank’s full-service wealth management business, which encompasses RIA, Broker Dealer, and Trust offerings and services. - Develop and implement...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
Title Director, Tax Counsel Job Responsibilities The Director, Tax Counsel will become a member of the Tax Planning team within the Corporate Tax Department at the company. This role involves providing support on a wide variety of tax matters for...