Title: Senior Paralegal Job Responsibilities: The Senior Paralegal at the company will assume a pivotal role in managing and executing transactions across the company's core businesses, particularly within the real estate sector. This position entails working closely with the eight members of...
Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will join the Corporate Practice at a law firm and will be responsible for handling significant corporate transactions with a focus on Capital Markets. Responsibilities include working on . and cross-border transactions,...
securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and providing related opinions. - Managing broker-dealer and investment adviser status... issues. - Offering counsel on broker-dealer and investment adviser registration... and compliance. - Assisting in the setu...
Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team, focusing on the legal aspects of the company's real estate investment...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will be part of the Legal Risk Sustainability Compliance (LRSC) Team and will act as in-house counsel dedicated to supporting the company's real estate investment funds. The...
complex capital markets transactions. Serve as a strategic advisor to clients, often working closely with corporate executives, investment bankers, and regulators. Provide day-to-day legal and compliance advice to broker-dealers, RIAs, and private funds.... Act as underwriters counsel on public...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is charged with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This includes representing the...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of the Strategic Intelligence & Analytics (StratIntel) organization within the department. The position involves the collection, analysis, processing, and dissemination of strategic...
Title: Senior Associate, Licensing Acquisition Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, including conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission license acquisition, including preparation of...
sector, including hedge funds, private equity, venture capital, broker dealers, and management companies.... Your key duties will include: - Reviewing tax returns prepared by tax staff and seniors to ensure accuracy. - Engaging in all aspects of financial services tax engagements. - R...
status issues and opinions, broker-dealer and investment adviser status... issues, and the setup of alternative investment platforms. Much of the work involves technology and early-stage companies. SEC experience is strongly on Investment Company Act status issues...