FINRA, NFA requirements. - Advising on activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing,... and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters related to . distribution...
and NFA requirements. - Providing legal guidance on activities related to limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing,... and disclosure rules. - Assisting in drafting and negotiating distribution and service agreements with intermediaries. - Advising on matters...
and related strategic initiatives. - Advise on regulatory issues relevant to the . client-facing business, including SEC, CFTC, FINRA, and NFA requirements. - Advise on activities of limited-scope broker/dealer and retail-adjacent activities of the investment adviser, including licensing, marketing,... and disclosure rules....
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 within the bank's full-service wealth management business, which includes RIA, Broker Dealer, and Trust (including Delaware...
Title: Associate General Counsel Wealth Job Responsibilities: - Provide commercial and comprehensive legal guidance to senior management and the business, supporting the entirety of the company's Wealth Management business. - Advise senior management and other stakeholders on a wide range of legal and...
funds, registered funds, and related investment vehicles. This includes drafting... and negotiating Limited Partnership Agreements (LPAs), operating agreements, offering memoranda, and side letters. - Collaborate with investment and product teams on... new product launches, assessing legal structure, governance, and regulatory implicat...
Job Title: Managing Associate (Investment Funds) Job Responsibilities: - Operate as... within the law firm's Investment Funds group. - Advise investment... managers on the offering,... regulatory compliance of private investment funds. - Provide guidance to... and secondary transactions. - Advise investment managers on the launch......
Job Title: Investment Funds, Regulatory Associate Job Responsibilities: The... regulatory associate in the Investment Funds Group at the... regulatory aspects associated with investment funds. Key responsibilities include: -... Assisting fund sponsors with fundraising activities and transactions. - Navigating and managing SEC examination and enforcement...
operations of the Wealth Management Division at the company. The role involves advising on a wide range of legal and compliance issues pertaining to the company's wealth management services, including Registered Investment Adviser (RIA), Broker-Dealer, and... Trust offerings. Key re...
the company's funds and advisory businesses. - Serve as a subject matter expert and provide highly specialized legal counsel to Senior Management for the company's SEC-registered investment adviser responsible for investment... management services to proprietary... funds and separate accounts. - Offer legal...
Job Title: Investment Management Associate - Junior... - Mid-level Job Responsibilities: The Investment Management Associate will be... part of the Investment Management sub-group within the... responsibilities include: - Engaging in investment management transactional work, particularly... Demonstrating familiarity with the Investment Advisers Act of 1940... Investment...
the company's Wealth & Investment Technology (WIT) businesses on... their commercial agreements, focusing on customer licensing and service agreements. - Engage in legal aspects of business or corporate initiatives, ensuring compliance with applicable data privacy laws. - Provide legal advice...
the SS&C Wealth & Investment Technology (WIT) businesses, with... an emphasis on customer licensing and service agreements. - Engaging in the legal aspects of business or corporate initiatives, including ensuring compliance with applicable data privacy laws. - Providing legal advice...
Title: Legal Counsel - SaaS and Commercial Contracts Job Responsibilities: - Draft, negotiate, and advise on commercial agreements, focusing on customer licensing and service agreements within the SS&C Wealth & Investment Technology (WIT) business division.... - Address legal aspects of...
Job Title: Associate, Investment Compliance Job Responsibilities: - Support the... from public and private investment activity. - Monitor the deal... pipeline, confer with deal teams as appropriate, and ensure tracking of potential transactions within company systems. - Conduct research on potentially impacted public securities...
Title: Regulatory & Compliance Attorney Job Responsibilities: The Regulatory & Compliance Attorney is tasked with overseeing the compliance function within the company. Reporting to the Chief Compliance Officer (CCO), the attorney's responsibilities include ensuring that the company adheres to all regulatory requirements,...
more senior counsel on investment management matters for various... Mutual Funds, ETFs, Collective Funds, Private Funds, Separately Managed Accounts, Institutional Separate Accounts, and Local Government Investment Pools. This includes support... with investment management agreements, Form ADV... disclosures, and portfolio transa...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of clients...
Title: Consultant/Wealth Management Compliance Job Responsibilities: The Consultant/Wealth Management Compliance role involves a variety of responsibilities aimed at ensuring compliance with regulatory requirements and promoting effective governance within the financial services sector. Key responsibilities include: - Leading or assisting in mock regulatory examinations...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Perform a broad scope of work during reviews of...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Participate in mock regulatory examinations and compliance program reviews. - Assist with policy and procedure reviews, drafting reports, and creating manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project...
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,...
for the Wealth & Investment Technology (“WIT”) division, including... customer licensing and service agreements. - Handling legal aspects of business or corporate initiatives, ensuring compliance with data privacy laws. - Providing legal advice to internal clients in a fast-paced environment, interfacing with...
Job Title: Investment Management Governance Attorney, VP Job... Responsibilities: - Support a team responsible for managing all aspects of board of director/trustee operations, including coordination and operation of board meetings, and . registered fund disclosure practices. - Collaborate with members of the Legal...
legal analysis to senior lawyers regarding day-to-day investment management activities, including investment... management agreements, private fund... formation, investment documents, and general corporate/governance... matters. - Assist in supporting all legal aspects of separate account, private fund, SMA/wrap, group trust, and sub-advisory relationshi...
Job Title: 40 Act Attorney Job Responsibilities: The 40 Act... Attorney at the company... duties related to registered investment products, including privately offered... and non-listed real estate investment trusts (REITs). The primary... responsibilities include: - Drafting, reviewing, and maintaining registration statements and related...
for Company's Wealth Management's investment advisory business. - Offer legal... regulations, and legal risks related to fiduciary standards of care, trading, best execution, trade allocation, operational issues, principal trading rules, investment allocations, client fee structures,... conflicts of interest, and cash solicitat...
Job Title: Alternative Investment & Private Markets Attorney Job... Responsibilities: The Alternative Investment & Private Markets Attorney... for the Alternative Investments and Private Markets businesses, focusing on alternative investment funds and private securities... transactions. The attorney will analyze, review, negotiate, s...
Title: Counsel, Marketing Review Job Responsibilities: The Counsel, Marketing Review will be responsible for supporting a diverse range of corporate legal needs related to the global sales, client servicing, and marketing activities of the company. Key responsibilities include: - Reviewing global marketing...
part of the Private Investment Funds practice at the... Working collaboratively within teams to manage and execute substantial components of fund formation transactions. - Handling transactions with private investment funds, particularly in sectors... such as private equity, real estate, and techn...
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...
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...
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...
on derivatives-related trading agreements and regulatory obligations within the Investment Management Legal team. The... role entails: - Collaborating with business partners to support Parametric products, clients, and initiatives. - Drafting and negotiating a wide array of contracts, including investment manageme...
and support the global investment adviser compliance program, ensuring... regulatory compliance for the company's separate accounts and alternatives/private funds businesses, including ERISA plan compliance. - Manage and lead the team responsible for core investment adviser compliance functions such... as ERISA compl...
Associate - Corporate - Investment Funds Regulatory Job Responsibilities: The associate... in the Investment Funds Regulatory Practice at... and compliance advice to investment advisers, family offices, and... other financial institutions globally. This includes offering guidance on the operation and management of private...
Associate - Corporate - Investment Funds Regulatory Job Responsibilities... in the Corporate - Investment Funds Regulatory practice involves... responsibilities include: - Advising investment advisers, family offices, and... other financial institutions on legal, regulatory, and compliance matters. - Operating and ma...
regulatory practice of its Investment Funds Group in Chicago,... IL. The role offers a dynamic experience, assisting fund sponsors with fundraising, transactions, and navigating SEC examination and enforcement offering materials and fund governing clients on compliance with applicable...