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Corporate Investment Company Act Attorney Jobs in Charlotte

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Corporate Investment Company Act Attorney Jobs in Charlotte - Related Job Titles

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Job info
Company
In-House
Experience
8-10 yrs required
Location
Charlotte, NC
Posted Date
Sep 11, 2021
Info Source
Employer
Total Views
10
Lead Director, Investment Lawyer Responsibilities: Counseling with respect to the company’s investments in private placements, private credit, private equity, hedge funds and structured investments; Reviewing and negotiating all investment-related documentation, including credit and security agreements, confidentiality agreements, private placement memoranda, subscription agreements, indicative term sheets, investment management agreements and commitment letters; Providi... read more
Company
In-House
Experience
5-8 yrs required
Location
Charlotte, NC
Posted Date
Sep 11, 2021
Info Source
Employer
Total Views
11
Investment Lawyer Responsibilities: Counseling with respect to the company’s investments in private placements, private credit, private equity, hedge funds and structured investments; Reviewing and negotiating all investment-related documentation, including credit and security agreements, confidentiality agreements, private placement memoranda, subscription agreements, indicative term sheets, investment management agreements and commitment letters; Providing legal interp... read more
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Company
Location
Charlotte, NC
Recognition and Awards Coordinator Duties: Will join the marketing and business development team. Crafts and edits compelling award nominations and rankings/survey submissions. Advises on which submissions are key to increase recognition for the firm and to promote its strategic business goals. Navigates the ins and outs of various outlets’ complex submission processes. Works across teams to meet tight deadlines for numerous award nominations and rankings/survey sub...
Company
Location
Charlotte, NC
Corporate Associate Attorney The candidate must have 2-3 years of experience. Should have experience in mergers and acquisitions, private equity and general commercial transactions. Must have the ability to interact with and advise on deal teams and transactions from inception through closing. Must be able to provide stellar academic records and references from a top-ranked law school.
Company
Location
Charlotte, NC
Managing Counsel Duties: Responsible for monitoring, reviewing and analyzing state and federal legislation and regulations for all areas of the Corporation. Primary responsibilities include researching and analyzing state and federal regulations, legislation, and other regulatory issuances to ascertain compliance requirements applicable to the Corporation; preparing high-level summary of the applicable provisions; and ensuring proper notification of regulatory changes to a...
Company
Location
Charlotte, NC
Corporate Associate The candidate must have JD degree from an ABA-approved law school and be an active member in good standing of the Bar. Should have 3+ years of experience in investment management. Experience working with registered investment companies, private funds, general securities law and M&A transactions is required.
Company
UBS  
Location
Charlotte, NC
Global Equities: Sales-Legal Facilitator The candidate will be working in the Global Financing Services business within Equities Distribution. Act as on-boarding liaison working closely with on-boarding team, sales and relationship management and clients. Act as legal facilitator working closely with legal negotiators and sales/relationship management team to improve the speed of client negotiations. Assist with the legal pipeline, working on most important client negotiat...
Location
Charlotte, NC
Corporate Staff Attorney The candidate should have experience in commercial contracts and general business matters to work. Experience in preparing, drafting, reviewing and negotiating complex commercial contracts is preferred. Must have strong written, verbal communications and organizational skills, and have excellent academic credentials.
Company
Location
Charlotte, NC
Compliance Consultant 5 - Investment Portfolio The candidate will support the Investment Portfolio (IP) Compliance Program by assisting with the design, implementation and maintenance of a comprehensive compliance program that will: (1) establish and maintain corporate governance programs; (2) support Compliance and other support group partners with the enterprise-wide enhancement of compliance structures due to new laws, regulations, Corporate and Wholesale requirements a...
Company
Location
Charlotte, NC
Senior Compliance Officer Essential Duties and Responsibilities may include the following. Other duties may be assigned. Ensure that the appropriate controls are in place to monitor employee trading pursuant to Newport Group’s Code of Ethics and applicable policies. Facilitate, review and reconcile quarterly and annual employee holdings and Code of Ethics attestations. Update the Firm’s ADV Part 1 and Part 2, annually and as needed. Review and approve the Fir...
Company
Location
Charlotte, NC
Senior Compliance Officer The candidate will oversee firm’s Investment Advisor’s compliance program pursuant to the Investment Advisor’s Act of 1940, the Code of Ethics effort related the monitoring of employee trading for compliance with SEC Rule 204 A and applicable FINRA regulations. In addition, s/he will also be responsible for review and approval of the Firm’s marketing materials including social media. Will ensure that the appropriate con...
Location
Charlotte, NC
Securities Associate The candidate should have 3-5 years of experience in corporate and securities work, including 33 Act and 34 Act experience. Must have excellent academic credentials and solid law firm work experience.
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