Job Title: Counsel – Broker-Dealer Regulatory Job Responsibilities: - Provide legal... the Investment Company Act, Exchange Act, Investment Advisers Act, and FINRA rules. - Offer advice and counsel to the company's limited-purpose broker-dealer on compliance with FINRA... rules and other regulatory matters. - Draf...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will play a pivotal role in supporting the Wealth Management Division at the company. Reporting directly to the Senior Associate General Counsel, Head of Wealth Legal, this position involves providing comprehensive legal...
of issues under federal securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and preparing related opinions. - Managing broker-dealer and investment adviser status... issues. - Providing counsel regarding broker-dealer and investment adviser registration... and compliance. - Setting up alternative...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: The Chief Privacy Officer (CPO) and Senior Vice President, Associate General Counsel at the company will serve as a visible leader, providing legal and policy advice on privacy, technology development, cybersecurity, incident...
the Bank’s full-service wealth management business, which encompasses RIA, Broker Dealer, and Trust offerings... and services. - Develop and implement legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulatory issues. - Assist Compliance and Risk colleagues in responding to re...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission by leading complex analytical projects aimed at identifying emerging market risks with minimal supervision. The specialist is responsible for developing sophisticated frameworks to evaluate...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a crucial member of the StratIntel team within the organization’s Member Supervision department. This role involves: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing sophisticated frameworks...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) department of the organization. This role involves utilizing an expanded skillset and expertise related to the mission of...
aspects of financial services tax engagements, including those related to hedge funds, private equity, venture capital, broker-dealers, and management companies. - Conducting... research and drafting memoranda on complex tax matters. - Identifying and implementing tax planning opportunities to optimize client tax situations....
Title: Manager, Real Estate Job Responsibilities: The Manager of Real Estate at the law firm will collaborate with the Managing Director of Real Estate to manage all real estate-related activities. The responsibilities include overseeing existing leases and facilitating site selection and lease...
law firm in Boston, MA, is seeking a Senior Corporate Securities Associate Attorney or Counsel with extensive experience in securities law and corporate governance. The ideal candidate will have a strong background in public company regulations, securities offerings, and compliance...