Job Title: Manager, Broker-Dealer Compliance Job Responsibilities: - Provide senior... compliance oversight for all aspects of **Members Only** Capital Markets (CCM), including trading, reporting, policies, procedures, and training. - Coordinate closely with cross-functional partners in Legal, Operations, Risk, Tax, Finance, and Audit to ensure...
securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and providing related opinions. - Handling broker-dealer and investment adviser status... issues. - Offering counsel regarding broker-dealer and investment adviser registration... and compliance. - Assisting in the s...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel will join the Legal Risk Sustainability Compliance (LRSC) Team of the company, acting as in-house counsel for the company's real estate investment funds. Key responsibilities include: - Advising...
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: Senior Associate, Licensing Acquisition Full Time Job Responsibilities: - Possess working knowledge of state regulatory, exam, and licensing processes, which may include conducting additional research as needed and reviewing work conducted by Associates. - Participate in state money transmission...
aspects of financial services tax engagements, including hedge funds, private equity, venture capital, broker-dealers, and management companies. - Research... and draft memoranda on complex tax matters. - Identify and implement tax planning opportunities. - Handle and resolve tax controversies. - Oversee complete tax research...
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 Investment Company Act status issues...