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...
Firm is seeking a Registered Funds Associate with 3-6... Our Leading Financial Services Team as a Registered Funds Associate in Washington... H2: Are You Experienced in Registered Investment Companies? Join Our... Team Today! Overview: Law Firm is seeking a...
Job Title: Associate - Investment Services Job Responsibilities: - Work closely... client-facing activities within the Investment Services team. - Play a... transactions, particularly related to investment company reorganizations or mergers. -... securities laws, including the Investment Company Act of 1940... and the Securities Ac...
Job Title: Associate - Investment Services Job Responsibilities: The role involves... joining the Investment Services team at a... participating in business development and client-facing activities. - Engaging in a diverse and multidisciplinary practice within the Investment Services team. - Managing multiple... legal matters simult...
status, veteran status, or disability status. Salary Information The salary for this position will be competitive and commensurate with experience. The firm also offers a comprehensive benefits package. Job Title Registered Funds Attorney – Asset... Managem...
Title: Asset Management Associate (Registered Funds) Salary Information: Competitive salary... Management (replaces department name) H1: Willkie is Hiring Asset Management Associates for Registered Funds H2: Join Our Team... in New York, Washington DC, Chicago, or Los Angeles Willkie, a leading law firm, is seekin...
Job Title: Investment Funds, Registered Funds/BDC Associate Job Responsibilities: The Investment... Funds, Registered Funds/BDC Associate will be... for working within the Registered Funds practice of the... Investment Funds Group at the... law firm. The primary duties include: - Forming, structuring, and advising on...
or Washington H2: Provide Legal and Regulatory Advice to Retail Broker-Dealer and Investment Adviser Affiliates Summary: Truist, a leading... financial institution, is seeking a Retail Brokerage Associate General Counsel to provide legal and regulatory advice to its retail broker-dealer and investment adviser affi...
Title: SVP, Associate General Counsel, Chief Privacy Officer Job Responsibilities: The SVP, Associate General Counsel, Chief Privacy Officer at the company is responsible for leading a team of dedicated privacy attorneys and professionals. This role involves providing guidance on substantive...
Title: SVP, Associate General Counsel of Litigation and Arbitration Job Responsibilities: The Senior Vice President, Associate General Counsel of Litigation and Arbitration is responsible for leading the Litigation and Arbitration team at the company. Core responsibilities include: - Managing a...
Join **Members Only** as a Family Office Design & Governance Strategist H2: Global Wealth Management Role with Competitive Salary Family Office Design & Governance Strategist at **Members Only** - Location: Atlanta, Chicago, Dallas, Houston, Los Angeles, Miami, San Francisco -...
Title: Senior Securities Counsel Job Responsibilities: The Senior Securities Counsel at the organization engages in a wide array of financial services and asset management-related legal issues. The primary responsibility is to provide counsel and advice to various internal business and compliance departments...
FINRA is a registered trademark of the Financial... Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: **Members Only** Department: Office of Oversight Liaison...
Summary: The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings...
Title: Principal Analyst, Dispute Resolution Department: National Arbitration Program Organization: FINRA Key Responsibilities: - Develop and implement policies to ensure high quality dispute resolution services for the National Arbitration Program. - Provide guidance and training to regional offices...
friendly job title: Associate Principal Investigator, NCP - IRG - All FINRA Locations H1: Join FINRA as an Associate Principal Investigator H2: Investigate Regulatory Matters at FINRA's IRG Department Associate Principal Investigator, NCP - IRG - All...
Program Administrator, OGC Regulation - Washington, DC - Salary range varies based on location, experience, and qualifications - Full-time, hybrid work environment with occasional travel required - Bachelor's degree and minimum of 6 years of experience in administrative or...
Analyst, Risk Monitoring - All FINRA Locations Location: Multiple locations including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD;...
Title: Principal Investigator, Specialist Team - All **Members Only** Locations Job Responsibilities: The Principal Investigator within the Specialist Team is responsible for conducting high complexity routine and special investigations of **Members Only** member firms. This includes investigating potentially suspicious activities of individuals associated with...
H1: VP Assistant General Counsel - Institution Services at **Members Only** H2: Join Our Team and Make a Difference! Job Title: Vice President, Assistant General Counsel Company: **Members Only** Department: Institution Services Legal Team Location: Fort Mill,...
adherence with federal securities rules and regulations. The Compliance Officer will report to the Chief Compliance Officer and provide comprehensive support across all facets of compliance and risk management for Homestead Funds and its affiliated investment advisers and limited-purpose b......
FINRA Department: Member Supervision Location: Various Locations Job Type: Full-time Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations Experience: Expert level Education: Bachelor's degree or equivalent relevant experience required; advanced degree or law degree, preferred Job Requisition...
Title: Corporate Actions Analyst, Transparency Services Salary Range: $61,300-$130,400 per year Location: Rockville, MD Organization: FINRA Job Type: Full-time H1: Join FINRA as a Corporate Actions Analyst in Rockville, MD! H2: Exciting opportunity with competitive salary and benefits!...
FINRA is a registered trademark of the Financial... Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer Job Title: Principal Investigator, NCP - All FINRA Locations Experience: Advanced knowledge of relevant FINRA rules...
Title: Principal Investigator, Specialist Team - All **Members Only** Locations Job Responsibilities: The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of **Members Only** member firms. This includes investigating potentially suspicious activities of individuals associated with these...
DC is seeking a Registered Funds Associate Attorney with... on matters related to registered investment companies, including mutual... funds, and business development companies, as well as their... trustees and directors. Additionally, they will advise investment advisers on business and... re...