related to derivatives transactions and repurchase agreements for registered investment company clients (including... mutual funds, ETFs and closed-end funds). Strong academic credentials are required. Must have 3+ years of direct experience. Ideal candidate will have demonstrated project management and leaders...
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...
Program Management Associate Job Level: Associate Location: Jersey City, NJ, US, 07311 Employment Type: Full Time Requisition ID: 4432 SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group...
Change Management Officer - Vice President Level Job Description: - Work with the Regulatory Change Management Team as a Subject Matter Expert to identify and oversee the implementation of new or changes to existing laws, rules, regulations or...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
Principal Analyst, Dispute Resolution - Salary Information and Job Description H2: About the Role - The Dispute Resolution Principal Analyst supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS). - This role involves...
Associate Principal Investigator, NCP - IRG will work in FINRA's Initial Review Group (IRG), which is responsible for the intake, review, and analysis of regulatory intelligence received from various sources. The role requires a Bachelor's degree or equivalent relevant experience...
Friendly Job Title: Associate Principal Investigator, IRG, NCP - All FINRA Locations (Open) H1: Join the Team at FINRA as an Associate Principal Investigator! H2: Investigate Regulatory Intelligence as an Associate Principal Investigator at FINRA Bold Headline: FINRA is Hiring an Associate Principal...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator is responsible for conducting high complexity routine and special investigations of organization member firms and investigating potentially suspicious activities of persons associated with these firms. The role involves providing guidance to Member...
Family Office Design & Governance Strategist H2: Business Development Opportunity with Global Wealth Management Firm **MEMBERS ONLY**SIGN UP NOW***. is seeking a Family Office Design & Governance Strategist to join their team in various locations across the United States. This is a...
friendly job title: US Registered Fund Counsel at Wellington... Team as a US Registered Fund Counsel at Wellington... - Join a Leading Investment Management Firm with Over... to Provide Legal Support to a Variety of Investment Solutions - Competitive Sal......
a comprehensive benefits package including medical, dental, vision, and 401k plans. Job Title Registered Funds Associate Experience... Information 3-6 years of legal experience practicing as a Registered Funds Attorney Department... Asset Management Group (Regist...
experience working with . registered funds and the Investment... Berman is seeking an experienced lawyer to join our Legal and Compliance Team in New York as an Assistant General Counsel for our . registered fund business. This is... an exceptional...
related to derivatives transactions and repurchase agreements for registered investment company clients (including... mutual funds, ETFs and closed-end funds). Strong academic credentials are required. Must have 3+ years of direct experience. Ideal candidate will have demonstrated project management and leaders...
Job Title: Counsel, Registered Funds Job Responsibilities: -... lending platform, which includes registered investment companies, business development... companies, and other permanent capital... vehicles. - Manage day-to-day legal operations for the company's regulated funds. - Collaborate with other legal team members...
Title: SVP, Associate General Counsel Job Responsibilities: The Senior Vice President, Associate General Counsel is responsible for assisting other attorneys in the department and senior members of the business, including the Deputy General Counsel and the Chief Legal Officer. The role involves...
Job Title: Associate - Investment Services Job Responsibilities: - Work closely... or key role in transactions, particularly related to investment company reorganizations or mergers. -... Manage multiple matters simultaneously, ensuring compliance with regulatory and compliance matters regarding federal securities laws, including the Inv...
Vice President position for Registered Funds Attorney - Location:... Business unit dedicated to bringing alternative investment expertise to private wealth... investors - Brookfield has a long-term focus and values aligned with Attributes of a Brookfield Leader: Entrepreneurial, Collaborative, and Disci...
Job Title: Registered Funds Staff Attorney Job Responsibilities: The... Registered Funds Staff Attorney is... on matters related to registered investment funds, including mutual... ETFs, and other regulated investment products. The role requires... thorough understanding of the Investment Company Act of 1940,... Investment other relevant laws governing registered funds. Key responsib...
Firm Seeking Experienced ETF Specialist **MEMBERS ONLY**SIGN UP NOW***., a leading law firm, is currently seeking an experienced attorney with at least 5 years of experience in advising exchange-traded funds (ETFs). This is an exciting opportunity to join our highly skilled team...
Asset Management Attorney - Registered Funds (BDCs), Vice President... H1: Join Goldman Sachs as a Legal Asset Management Attorney - Registered Funds (BDCs), Vice President... in New York H2: Asset Management Attorney - Registered Funds (BDCs), Vice President......
Title: Asset Management Associate (Registered Funds) Experience Information: -... with a focus on registered funds - Maximum 6... of experience in asset management - Experience in representing leading firms - Experience in providing legal services to registered funds - E...
for the firm's investment platform, which includes registered and private fund vehicles... and separately managed accounts. The ideal candidate will have a working knowledge of various regulations, such as the Investment Advisers Act of 1940... and the Securities Act o...
company, particularly supporting Collective Investment Trusts and the Columbia... which include approximately 170 mutual funds, ETFs, and closed-end funds. - Support the Collective Investment Trust (CIT) business by... facilitating and attending Board of Director meetings, preparing meeting materials, supporting product ini...
Title: Senior Vice President, Counsel- BNY Pershing Wealth Services Platform Location: New York, NY, United States • Pittsburgh, PA, United States • Lake Mary, FL, United States Job Type: Hybrid (3 days in office) Job ID: 63504 Overview:...
range of services to institutional investors, investment funds and asset managers... worldwide. With over 20 years of experience and assets under management in excess of $2Tn, Waystone is committed to supporting its clients with the guidance and tools they n...
Job Title: Investment Funds, Registered Funds/BDC Associate Job Responsibilities: - Work... within the Registered Funds practice of the... Investment Funds Group. - Form, structure,... “alternative” funds, including interval/tender offer funds, business development companies (BDCs), real estate investment trusts (REITs), “holding company”... and simil...
Job Title Registered Funds Staff Attorney Job Responsibilities... The Registered Funds Staff Attorney is... on matters related to registered investment funds, including mutual... ETFs, and other regulated investment products. Key responsibilities include: -... and ongoing governance of registered investment funds. - Preparing and... reviewing......
Investments. - Support the Collective Investment Trust (CIT) business, including... facilitating and attending Board of Director meetings, preparing meeting materials, supporting product initiatives, assisting in regulatory compliance, and preparing offering documents. - Support the preparation of fund prospectuses and statements of ad...
Title: Associate Attorney - Legal and Regulatory H1: Join Our Team as an Associate Attorney at **MEMBERS ONLY**SIGN UP NOW***. H2: Exciting Opportunity in Legal and Regulatory at **MEMBERS ONLY**SIGN UP NOW***. Location: New York, New York Time Type: Full Time Posted On: Posted Yesterday Job Requisition ID:...
**MEMBERS ONLY**SIGN UP NOW***., a leading global investment banking and securities firm,... is seeking a Vice President level Legal, Bank Regulatory Attorney in New York, NY. This role will support the firm's global operations from a . bank regulatory perspective and advise on...
Title: Structured Securities and/or Fund and Structured Finance Lawyer Job Responsibilities: - Partner with US Global Markets business colleagues to provide legal and regulatory advice regarding the offering, sale, and distribution of structured products, such as equity-linked notes and ETNs, and related...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC – Wealth Management Platforms, Programs & Advisory Attorney is responsible for providing strategic legal advice to various business units within the company. This position involves...
Development: Travelers offers a variety of career development programs, including formal mentorship and leadership programs, as well as on-the-job training and educational opportunities. Diversity, Equity and Inclusion: Travelers is committed to building a diverse, inclusive and equitable workplace. We...
will support the . Registered Funds 38a-1 compliance program... be based in **MEMBERS ONLY**SIGN UP NOW***.’s New York Office. ## Job Description The Compliance Officer will be responsible for supporting the Funds’ Chief Compliance Officer and the US Registered Funds t...
Compliance Manager locations New York, NY posted on Posted 5 Days Ago job requisition id R136101 About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that...
is hiring a Principal for their Legal team to support Private Wealth and Institutional Business Development teams. This is a full-time position based in New York or Short Hills, NJ with a salary range of $175,000 to $200,000. The company...
Position: Associate (Paralegal), Registered Funds Legal & Regulatory... Location: New York, New York Department: Registered Funds Legal and Regulatory... Team Experience: legal department of a registered investment adviser or a... (Paralegal) will support the Registered Funds Legal and Regulatory......
Title Compliance Risk Management Director - Executive Director Job Responsibilities As a Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will serve as the global Compliance Lead for one of the largest Lines of...
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...
Client Advisor II Apply locations New York time type Full time posted on Posted 30+ Days Ago job requisition id 23020528 Job Description: At Bank of America, we are guided...
Senior Associate - Financial Services Job Category: Tax Requisition Number: TAXSE001890 Posting Details Posted: February 23, 2024 Full-Time Locations Showing more locations Woodland Hills, CA Sacramento, CA New York, NY...
Analyst Job in New York, NY Job Title: Compliance Analyst Company: Jefferies Financial Group Inc. Department: Compliance Salary Range: $70,000 - $75,000 per year Experience Level: 0-3 years Job Schedule: Full time Locations:...
Join the **MEMBERS ONLY**SIGN UP NOW***. Team as a Family Office Solutions Client Specialist H2: Opportunity for Experienced Professionals in Financial Services H2: Global Wealth Management and Family Office Expertise H2: Role Overview • Job title: Family Office Solutions Client Specialist • Location: Miami, New York • Type: Full...
City is seeking a Registered Funds Associate Attorney with... on matters pertaining to registered investment companies, including mutual... closed-end funds, interval funds, tender offer funds, and business development companies, as well as their... advisers and directors. This role involves collaborating...