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Assistant General Counsel - Investment Company Act of 1940
The candidate will report to the Associate General Counsel on the mutual fund team. Will support all aspects of legal and regulatory matters relating to the firm's retail and annuity-dedicated funds. In particular, this individual would be involved in tasks relating to fund board of directors' meetings, fund registration statements, fund mergers, proxy and information statements and general fund matters. Act as a k...
New York City office seeks corporate and business transactional partner with 8 years of practice experience. The candidate should have training and experience from a Big Law firm or equivalent training from the legal department of a respected corporation. Must have a background in corporate and general business transactions. Should have some portable business and strong referral relationships. Prior experience should include knowledge and familiarity with business-related c...
New York based company is seeking an attorney for a contract attorney position with 5+ years of investment adviser and/or broker-dealer compliance experience with respect to the Investment Advisors Act of 1940. This is an opportunity to work virtually from anywhere in the U.S for investment adviser clients (hedge funds, private equity, venture capital, mutual funds and other investment/financial services companies). Chief Compliance Officers (CCOs), General Counsels, and se...
Private Investment Funds Lawyer
Candidate must have superior academic credentials and 3+ years’ large law firm experience in fund formation and other capital raising transactions for private investment funds sponsors or other investment managers, including club transactions, joint ventures, funds of one and separate accounts.
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Director - Investment Banker - Private Funds Group
Duties: Understand the key drivers, market trends, relevant players and related financial metrics in the Private Funds Group identify and tailor solutions for clients through in-depth analysis. Manage and support the development of junior investment bankers. Identify problems and recommend solutions that are logical and realistic. Build and sustain strong relationships with internal and external clients. Work closely with ...
Corporate Compliance Manager
The candidate will use specific regulatory and compliance knowledge to assist the business sectors and lines of business in adopting appropriate compliance standards. Will be responsible for managing a number of compliance specialists.
Junior To Mid-Level Investment Management Associate
The candidate must have prior experience with investment advisory regulatory matters. Involves counseling top-tier securities and investment management firms on regulatory matters under the federal securities, with particular focus on investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Experience with regulatory matter...
Junior Capital Markets Attorney
The candidate will Lawyer to support Company’s Wealth Management’s Capital Markets, Research, Strategy and Corporate Equity Solutions businesses. Will specifically, the attorney will assist other team members in supporting equity and fixed income securities new issue distribution, sales and secondary trading stock plan and restricted stock transactions and research and will be located in Midtown Manhattan (a possibility of working out of...
Investment Management Associate
The candidate should have asset management/investment fund experience in the alternative private fund sector including private equity fund or hedge fund experience and ideally both. Regulatory expertise and experience (Investment Advisers Act, Investment Company Act, Commodity Exchange Act) a big plus. Must have a J.D. from an ABA-approved law school and be an active member in good standing of the Bar.