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United States
Posted On Aug 17, 26
Full-time 8 views Experience : 6-10 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

under the Investment Company Act of 1940. - Provide primary legal support... on matters under the Investment Advisers Act of 1940, focusing on governance, disclosures,... conflicts of interest, regulatory filings, examinations, and ongoing compliance. - Advise on ’40 Act issues relevant to...

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Posted On Jul 28, 26
Full-time Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

Title: Senior Compliance Officer Job Responsibilities: The Senior Compliance Officer will play a crucial role in supporting the compliance program of the company across various funds, including registered private equity funds, private debt funds, and exchange-traded funds (ETFs). The officer is responsible...

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Posted On Sep 03, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
agreements child climate change contracts employee benefits family finance financial products Government Insurance NYSE pension SEC filings Securities Securities Act of 1933 special projects stock exchange Women
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
agreements child climate change contracts employee benefits family finance financial products Government Insurance NYSE pension SEC filings Securities Securities Act of 1933 special projects stock exchange Women

Title: Legal Support Specialist Job Responsibilities: - Research and apply existing federal and state laws, rules, and regulations related to insurance and annuities products registered with the SEC. - Become a trusted subject matter expert on topics related to SEC-registered insurance products. - Collaborate...

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Posted On Jul 06, 26
Full-time 4 views Experience : 10-15 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act agreements Business Law confidentiality agreements contracts Mutual Funds
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act agreements Business Law confidentiality agreements contracts Mutual Funds

Title: Legal Advisor for Proprietary Mutual Funds Job Responsibilities: - Provide leadership, direction, and subject matter expertise on complex projects and initiatives. - Serve as a legal lead and trusted advisor to business leaders on legal and regulatory matters related to the company's...

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Posted On Sep 07, 26
Full-time Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements fund formation Government regulatory compliance Regulatory Law special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements fund formation Government regulatory compliance Regulatory Law special projects Visa

Investment Company Act of 1940 Job Responsibilities: - Provide legal advice... Investment Company Act of 1940. - Advise on fund formation,... governance, regulatory compliance, and strategic initiatives. - Partner with business leaders to shape new and existing products and collaborate on high-impact initiatives focused...

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