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The candidate will provide support to other senior attorneys in the Legal Department on wide array of legal issues assigned by and under the supervision of these senior attorneys. Provides legal advice and support to the Company on a variety of legal matters, including U.S. open and closed-end investment companies, investment advisor, UCITs and public company regulatory compliance, disclosures and filings. Provides timely and high quality legal services a...
Attorney, In-House Counsel
The candidate will provide legal support and counsel to a fast-paced Broker-Dealer and related Global Trading business on SEC and FINRA regulatory matters and a wide variety of contract negotiations. Provide legal advice and support in connection with the negotiation, drafting, interpretation, and renewal of clearing, execution, portal, referral, soft dollar and other agreements. Provide legal advice and support to the compliance staff of the com...