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Corporate Investment Company Act Attorney Jobs in North Carolina

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Job info
Company
In-House, Barings
Experience
Min 4 yrs required
Location
Charlotte, NC
Posted Date
Aug 15, 18
Info Source
Employer
Total Views
131
Counsel - Regulatory and Trading The candidate will advise company on general regulatory issues related to company's status as a globally regulated investment adviser and manager of registered investment companies, including advising on issues with the Securities and Exchange Commission and on other corporate matters related to the functioning of a globally registered investment adviser. Will report to the Head of the Regulatory and Trading Legal Team. Provide legal advice... read more
Company
In-House
Experience
5-10 yrs required
Location
Charlotte, NC
Posted Date
Aug 10, 18
Info Source
Employer
Total Views
9
Attorney- Investment Management Responsibilities: Providing general legal and regulatory advice to the retail product business units on Investment Advisers Act, Investment Company Act and FINRA and SEC Rules and Regulations. Advise clients on various aspects of investment advisory and brokerage product development and distribution as well as general fiduciary matters. Client contracts and ancillary documentation, advice to the business on marketing materials and RFP respon... read more
Company
In-House
Experience
5-10 yrs required
Location
Charlotte, NC
Posted Date
Aug 10, 18
Info Source
Employer
Total Views
8
Attorney- Investment Management Responsibilities: Providing general legal and regulatory advice to the retail product business units on Investment Advisers Act, Investment Company Act and FINRA and SEC Rules and Regulations. Advise clients on various aspects of investment advisory and brokerage product development and distribution as well as general fiduciary matters. Client contracts and ancillary documentation, advice to the business on marketing materials and RFP respon... read more
Company
Recruiter
Experience
3-5 yrs required
Location
Charlotte, NC
Posted Date
Mar 02, 18
Info Source
Recruiter
Total Views
7
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. read more
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