Title: Counsel Job Responsibilities: - Advising on regulatory issues relevant to the . client-facing business, including SEC, CFTC, 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...
Job Title: 40 Act Attorney Job Responsibilities: The 40 Act... Attorney at the company... BDCs, and non-listed real estate investment trusts (REITs). The primary responsibilities include: - Drafting, reviewing, and maintaining registration statements and related materials for funds and other securities offerings. - Coo...
Title: Vice President, Associate General Counsel Job Responsibilities: - Coordinate and collaborate with colleagues in the Fidelity Digital Asset Management business group, Asset Management Legal team, and across the larger Fidelity Legal Group. - Work with other business units and control function business...
legal industry. We not only have the best **Members Only** positions, but we also have the most. Investment Services Paralegal Duties: Prepare and review filings with the Securities and Exchange Commission through... the EDGAR system for mutual funds, investment advi...
Job Title: Paralegal/ Board Securities & Corporate Liaison Job Responsibilities: The... 1 in the corporate securities and governance team within... directors. - Preparing for on and off-site board and committee meetings. - Assisting with Securities and Exchange Commission and... New York Stock Exchange fi...
law firm in Chicago, IL is seeking a Registered Funds Associate Attorney with 3-6 years of legal experience. The candidate will provide comprehensive legal advice and guidance to clients on matters related to registered investment companies, including mutual funds, ETFs,...