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 related to . distribution...
Job Title: 40 Act Attorney Job Responsibilities: The 40 Act... Attorney at the company... duties related to registered investment products, including privately offered... and non-listed real estate investment trusts (REITs). The primary... responsibilities include: - Drafting, reviewing, and maintaining registration statements and related...
funds, registered funds, and related investment vehicles. This includes drafting... and negotiating Limited Partnership Agreements (LPAs), operating agreements, offering memoranda, and side letters. - Collaborate with investment and product teams on... new product launches, assessing legal structure, governance, and regulatory implicat...
Title: Securities Services Attorney - Executive Director Job Responsibilities: - Provide legal advice and support on complex transactional matters, including negotiating agreements for agency securities finance, custody, and fund services with institutional clients. - Collaborate with stakeholders across Securities Services product areas, including...
Title: Regulatory & Compliance Attorney Job Responsibilities: The Regulatory & Compliance Attorney is tasked with overseeing the compliance function within the company. Reporting to the Chief Compliance Officer (CCO), the attorney's responsibilities include ensuring that the company adheres to all regulatory requirements,...
Title Managing Director, Deputy General Counsel - Legal Job Responsibilities This position provides an outstanding opportunity for an experienced attorney specializing in credit funds to engage in both legal transactional and management roles. The main responsibilities associated with this role...