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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.
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...
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.
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 Firm’s mark...