successful candidate may be asked to perform other duties as necessary. Salary Information The salary for this position will be competitive and commensurate with experience. The firm also offers a comprehensive benefits package including medical, dental, vision, and...
Investment Advisers Act of 1940 and Investment Company Act... of 1940 - Private equity and... hedge fund formation experience is a plus - Will provide legal, regulatory, and compliance advice to investment advisers, family offices, and financial institutions worldwide -...
Firm is seeking an Investment Funds Regulatory Associate to join its Chicago, Washington, ., or New York office. Job Summary Law Firm is seeking a highly qualified associate candidate with at least 3 years of relevant asset management...
Title: Investment Funds, Regulatory Associate Job Responsibilities: - Assist fund sponsors with fundraising and transactions. - Navigate SEC examination and enforcement matters. - Review offering materials and fund governing documents. - Advise clients on compliance with applicable rules and regulations. - Prepare SEC filings and respond...
Title: US Advisor Attorney-Vice President, Assistant General Counsel Job Responsibilities: - Manage legal coverage for the . Funds Management business. - Oversee the creation and management of mutual funds and exchange-traded funds. - Advise on regulatory developments and their implementation. -...
Title: Private Equity PIF - Mid-Level Associate Job Responsibilities: The successful candidate will be part of the Private Investment Funds practice at the law firm and is expected to engage in various responsibilities that include: - Working collaboratively within teams to manage and...
Title: VP, Compliance Officer, Investment Management Job Responsibilities: The VP, Compliance Officer for Investment Management is responsible for the strategic design and oversight of the compliance program for an SEC-registered investment advisor. Key duties include providing independent and authoritative advice and...
Title: Senior Securities Counsel Job Responsibilities: - Draft, review, and negotiate contracts related to the company's ETF and mutual fund distribution business. - Research and provide legal advice to business regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with...
Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager is a key role within the General Counsel’s Organization, specifically aligned with Asset Management Legal. This position is integral to supporting the Columbia Threadneedle Investments, focusing on registered investment companies such as...
Title Associate - Corporate - Investment Funds Regulatory Job Responsibilities The role of an Associate in the Corporate - Investment Funds Regulatory practice involves providing comprehensive legal and regulatory advice to a diverse array of clients within the asset management...
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects of the Bank’s full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including...
Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will be part of the Corporate Finance and Capital Markets practice within the law firm. The group is renowned for structuring and executing innovative and complex financial transactions for clients across asset...
Title: Associate, Investment Compliance Job Responsibilities: - Support the policies and processes of the company to mitigate and manage potential conflicts arising from public and private investment activity. - Monitor the deal pipeline, confer with deal teams as appropriate, and ensure tracking of...
legal industry. We not only have the best **Members Only** positions, but we also have the most. Paralegal AM Duties: Assist with filings of registration statements Form N-1A pursuant to Investment Company Act 1940. Review EDGAR filings (Prospectuses... and Statement...
the prestige and challenge of Fortune 500 companies including dot coms, while enjoying the sunny lifestyle of the Southwest at this very busy, larger firm. Well-reputed in intellectual property, civil and securities litigation and corporate transactional practices, it is always...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
the prestige and challenge of Fortune 500 companies including dot coms, while enjoying the sunny lifestyle of the Southwest at this very busy, larger firm. Well-reputed in intellectual property, civil and securities litigation and corporate transactional practices, it is always...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
Title: Parametric Derivatives Attorney, Vice President Job Responsibilities: The Parametric Derivatives Attorney, Vice President, is responsible for advising on derivatives-related trading agreements and regulatory obligations within the Investment Management Legal team. The role entails: - Collaborating with business partners to...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will be responsible for providing comprehensive legal guidance to senior management and the business, supporting the entirety of the Wealth Management business. Key responsibilities include: - Advising senior management and...
Title: Securities Services Attorney - Executive Director Job Responsibilities: - Provide legal advice and support on complex transactional matters, including negotiating agreements for agency securities finance, custody, and fund services with institutional clients. - Collaborate with stakeholders across Securities Services product areas, including...
at the law firm. This role involves providing expert legal counsel and representation to top-tier investment management firms regarding investment adviser regulatory matters. Key responsibilities include: - Advising on regulatory compliance with the Investment Advisers Act of 1940 and other fed...
Investment Advisers Act of 1940 and the Investment Company... Act of 1940. - Represent institutional investors and... wealth advisory firms, enhancing client interactions and relationships. - Collaborate within a cross-office team that values a collegial and close-knit e...
Title: Broker Dealer Marketing Compliance Job Responsibilities: - Support and/or lead Outsourced Marketing Review (OMR) projects alongside supervisors, relationship managers, account owners, and project leads. - Conduct thorough reviews of clients’ books, records, and other documents to ensure compliance. - Train staff on regulations,...
Title Senior Legal Counsel Job Responsibilities The Senior Legal Counsel will be part of the Workplace Investing (WI) legal team at the company, where they will play a pivotal role in advising the defined contribution plan recordkeeping, administration, trust, and institutional...
VP, Corporate Counsel, Asset-Based Finance - Prudential H2: Experienced Asset-Based Finance Lawyer Wanted in Newark, NJ Prudential is seeking a VP, Corporate Counsel with expertise in asset-based finance to join their team in Newark, NJ. This is a full-time...
Title: VP, Wealth Management Advisory Attorney Job Responsibilities: - Provide day-to-day legal support for Company's Wealth Management's investment advisory business. - Offer legal analysis and advice regarding applicable rules, regulations, and legal risks related to fiduciary standards of care, trading, best execution, trade...
Title: Alternative Investment & Private Markets Attorney Job Responsibilities: The Alternative Investment & Private Markets Attorney will join Company’s Wealth Management Legal and Compliance Division as a Vice President. The primary responsibilities include providing legal coverage for the Alternative Investments and...
law firm in New York City is seeking a Registered Funds Associate Attorney with 3-6 years of legal experience. The successful candidate will provide comprehensive legal advice and guidance to clients on matters pertaining to registered investment companies, including mutual...