and representation to registered investment companies. The primary duties... include: - Preparing and reviewing registration statements and offering documents for compliance with relevant securities laws. - Creating and reviewing board meeting materials to ensure adherence to regulations and company policies. - Drafting and...
Title Legal, Asset Management Attorney – Registered Funds (ETF),... The Legal, Asset Management Attorney – Registered Funds (ETF),... across the organization. The attorney's primary responsibilities include: -... Handling litigation and arbitration, research and due diligence, financing, and legal filings. -...
Legal Counsel - Transactional Attorney Job Responsibilities: As a... Senior Legal Counsel, the primary responsibilities include providing legal support to the company and in-house contract groups on various buy-side and sell-side transactional matters. Key duties involve: - Providing practical and...
Title: Associate (3 – 5 years) Job Responsibilities: Capital Markets Associates at the law firm play a crucial role in supporting clients through various securities transactions and financing activities. The primary responsibilities of this position include: - Advising clients on securities offerings, including...
Title: Associate (3 – 5 years) Job Responsibilities: The Capital Markets Associate at the law firm is tasked with supporting clients in various securities transactions and financing activities. Key responsibilities include: - Advising clients on securities offerings, such as equity and debt issuances. -...
Title Legal, Asset Management Attorney – Registered Funds (ETF),... Vice President Job Responsibilities The role is embedded within the Asset and Wealth Management (AWM) legal team of the company. The primary responsibilities include: - Providing legal counsel and advice related...
ETFs, mutual funds, and interval funds. - Support the development and launch of industry-leading ETFs by preparing regulatory documents and advising business teams. - Provide guidance on regulatory and legal issues impacting the company’s ETF, mutual fund, and investment advisory businesses; coordinat...
Title: GPB Wealth Management Investment Solutions Attorney - Vice... a GPB Wealth Management Investment Solutions Attorney - Vice... US Wealth Management business. Key responsibilities include: - Offering legal advice and support to the investment solutions business team, particularly... focusing on m...
Job Title: Parametric Derivatives Attorney, VP Job Responsibilities: The... role involves joining the Investment Management Legal team as... the Parametric and other Investment Management businesses on derivatives-related... trading agreements and their regulatory obligations. Key responsibilities include: - Collaborating with business...
Title: GPB Wealth Management Investment Solutions Attorney - Vice... Bank / Wealth Management Investment Solutions Legal team, the... support to the US Wealth Management business of the company. - Advising on managed investment solutions and navigating regulatory... challenges. - Support...
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...
Counsel - Global Alternative Investment Solutions Job Responsibilities: - Provide legal... to the Global Alternative Investment Solutions (GAIS) group, primarily... legal issues related to investment management advice and products. -... Support regulatory developments, new product development, and product launches. - Collaborate with Legal Department...
Director, Legal Counsel- Alternative Investment Platforms Job Responsibilities: As... Director, Legal Counsel- Alternative Investment Platforms at the company,... for platforms where alternative investment products are available to... negotiating agreements with product issuers or advisers. Key duties involve: -... Offering lega...
Title Managing Director, Deputy General Counsel - Legal Job Responsibilities In this role, the candidate will support the company as a senior leader on its Legal and Compliance Team, assisting with both transactional and operational matters related to supporting the company as a...
Director, Legal Counsel- Alternative Investment Platforms Job Responsibilities: -... Provide legal advice related to strategic and growth initiatives concerning alternative investment platforms. - Draft and... negotiate intermediary agreements with third-party alternative investment providers and issuers. -... Offer legal guidance on...
Title: GPB Wealth Management Investment Solutions Attorney - Vice... and support to the investment solutions business team, with... primary focus on managed investment solutions. - Address SEC regulatory... and bank regulatory issues impacting investment advisers. - Assist with regulatory... inquiries, examinations, and...
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 include: - Collaborating as part of the Legal and Compliance Team to support the company...
and NFA requirements. - Providing legal guidance on activities related to 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...
and related strategic initiatives. - Advise on regulatory issues relevant to the . client-facing business, including SEC, CFTC, FINRA, and NFA requirements. - Advise on activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing,... and disclosure rules....
General Counsel, Private Capital Attorney Job Responsibilities: The Private Capital Attorney... will join the Office... sound business practices, safeguards the company's reputation, and optimizes efficiency. The attorney will be part of... a team dedicated to serving as a trusted partner to he...
in-house legal position that encompasses a broad range of responsibilities and requires the ability to handle diverse legal matters. Key responsibilities include: - Contracting: - Review and negotiate various agreements, including investment management agreements, non-disclosure agreements... (NDAs), releases, consultin...
Job Title: Managing Associate (Investment Funds) Job Responsibilities: - Operate as... within the law firm's Investment Funds group. - Advise investment... managers on the offering,... regulatory compliance of private investment funds. - Provide guidance to... and secondary transactions. - Advise investment managers on the launch......
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the bank's full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including Delaware...
Title: Associate General Counsel Wealth Job Responsibilities: - Provide commercial and comprehensive legal guidance to senior management and the business, supporting the entirety of the company's Wealth Management business. - Advise senior management and other stakeholders on a wide range of legal and...
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...
to support the registered investment adviser (RIA) and related... entities of the company. Key responsibilities include: - Drafting, reviewing, and maintaining advisory client agreements, disclosures, and regulatory documents for RIA services. - Providing legal counsel on the Advisers Act, including fiduciary dut......
Title: AVP, Sr. Counsel - Fund Management Job Responsibilities: In the role of AVP, Sr. Counsel - Fund Management, you will be expected to provide leadership, direction, and subject matter expertise on complex projects and initiatives related to the company's funds and...
company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel to Senior Management for the company's SEC-registered investment adviser responsible for providing... investment management services to proprietary... funds and separate accounts. - Offer...
operations of the Wealth Management Division at the company. The role involves advising on a wide range of legal and compliance issues pertaining to the company's wealth management services, including Registered Investment Adviser (RIA), Broker-Dealer, and... Trust offerings. Key re...
Job Title: Investment Management Attorney Job Responsibilities: The Investment... Management Attorney will be... engaged in a variety of legal and regulatory matters to support the Funds and Hartford Funds’ other business lines. Key responsibilities include: - Supporting the Funds’ Boards of Directors/Trustees by...
a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed. -... Advise on new product development and regulatory risk management decisions. - Keep informed on legislation a...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed. -... Advise on new product development and regulatory risk management decisions. - Keep...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed. -... Advise on new product development and regulatory risk management decisions. - Keep...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed. -... Advise on new product development and regulatory risk management decisions. - Kee...
Job Title: Investment Management Associate - Junior... - Mid-level Job Responsibilities: The Investment Management Associate will be... part of the Investment Management sub-group within the... responsibilities include: - Engaging in investment management transactional work, particularly... Demonstrating familiarity with the Investment Advisers Act of 1940... Investment...
the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel to Senior Management for the company's SEC-registered investment adviser responsible for investment... management services to proprietary... funds and separate accounts. - Offer legal...
Firm is seeking an Investment Funds Regulatory Associate to... experience to join its Investment Funds Regulatory Practice. The... and compliance advice to investment advisers, family offices, and... other financial institutions around t...
Associate to join its Investment Funds Regulatory Practice. The... working knowledge of the Investment Advisers Act of 1940... and the Investment Company Act of 1940.... Private equity and hedge fund formation experience is also helpful. Duties and Responsibilities: • Provide legal,...
Firm is seeking an Investment Funds Regulatory Associate ... regulatory experience for its Investment Funds Regulatory Practice. The... working knowledge of the Investment Advisers Act of 1940... and the Investment Company Act of 1940.... Priva...
Title: Senior Legal Counsel Job Responsibilities: - Analyze new and existing products and services to identify risks and ensure compliance with applicable regulations, particularly focusing on the Investment Advisers Act. - Identify and... mitigate risk implications while providing legal advice in connection with...
Title: Senior Legal Counsel Job Responsibilities: - Support the Associate General Counsel in advising and supporting a wide range of legal matters across global business units with a focus on: - Assisting product teams in the design and implementation of new products...
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 on the development and...
Job Title: Investment Funds, Regulatory Associate Job Responsibilities: -... governing documents. - Advise clients on compliance with applicable rules and regulations. - Prepare SEC filings and respond to examinations. Education and Experience Information: - 1-3 years of investment funds-related regulatory experience at... a global law f...
Job Title: Investment Funds, Regulatory Associate Job Responsibilities: -... fund governing documents. - Advise clients on compliance with applicable rules and regulations. - Prepare SEC filings. - Respond to examinations. Education and Experience Information: - 1-3 years of investment funds-related regulatory experience at... a global law fi...
1-4 years of experience with the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... the Securities Act of 1933, the Securities... Exchange Act of 1934, and related... registered investment and review registration... statements and offer...