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United States
Posted On Sep 01, 26
Full-time 3 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933

Title: Legal Counsel Job Responsibilities: - Provide legal advice to internal clients of the company and support the broader Legal & Compliance Team. - Advise the company’s business professionals on investment management, mutual fund, ETF, and CIT legal and regulatory compliance. - Assist with...

Posted On Sep 07, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title

Legal Counsel Job Responsibilities The Legal Counsel is responsible for providing comprehensive legal advice to internal clients and supporting the broader Legal & Compliance Team. Key duties include advising business professionals on investment management, mutual funds, ETFs, and CIT legal and regulatory...

Posted On Sep 09, 26
Full-time 1 views Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

Counsel Job Title Assistant Counsel Job Responsibilities - Support senior attorneys in the review, drafting, negotiation, and maintenance of legal documents such as investment management agreements, sub-advisory agreements, side letters, subscription documents, and various amendments across different account structures and transactions. - Assist in the...

Posted On Sep 10, 26
Full-time 3 views Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

Title Junior Attorney Job Responsibilities - Support senior attorneys in reviewing, drafting, negotiating, and maintaining investment management agreements, sub-advisory agreements, side letters, subscription documents, various amendments, and other legal documents across diverse account structures and transactions. - Assist in the preparation, review, and maintenance...

Posted On Aug 21, 26
Full-time 1 views Experience : Min 8 yrs required
Job Tags:
advertising agreements AML asset management corporate governance due diligence financial services regulatory Investment Advisers Act of 1940 Privacy regulatory compliance securities laws special projects
Job Tags:
advertising agreements AML asset management corporate governance due diligence financial services regulatory Investment Advisers Act of 1940 Privacy regulatory compliance securities laws special projects

Information Job Title: Compliance Officer Department: Legal & Compliance Job Responsibilities The Compliance Officer is responsible for managing certain aspects of the company's compliance program. This role requires a comprehensive understanding of the company's products, services, and regulatory framework. The Compliance Officer will lead...

Posted On Jul 13, 26
Full-time 2 views Experience : 1-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
AML entertainment Ethics finance Investment Advisers Act of 1940 investment management Securities special projects title
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
AML entertainment Ethics finance Investment Advisers Act of 1940 investment management Securities special projects title

Title: Senior SMA Compliance Examiner Investment Management Job Responsibilities: - Assist in implementing the compliance program for the broker-dealer wrap, or "SMA," advisory business for affiliated investment advisers. - Focus on portfolio monitoring, testing, and compliance with company policies and federal...

Posted On Sep 07, 26
Full-time 2 views
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects

including the Investment Advisers Act of 1940 and the Investment Company... Act of 1940 rules and regulations. - Review,... analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC. - Review marketing materials, including advertising, sales literature, correspond...

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