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United States
Posted On Sep 08, 26
Full-time Experience : Min 7 yrs required
Job Tags:
advertising ETFs finance Financial Institutions FINRA health benefits hedge funds licensing marketing Privacy regulatory compliance Software stock options title
Job Tags:
advertising ETFs finance Financial Institutions FINRA health benefits hedge funds licensing marketing Privacy regulatory compliance Software stock options title

brokerage infrastructure for stocks, ETFs, options, crypto, fixed income,... 24/5 trading, and more. Amongst its subsidiaries, Company is a licensed financial services company, serving hundreds of financial institutions across 40 countries with institutional-grade APIs. This includes broker-dealers, investment advisors, weal...

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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

Compliance Team. Key duties include advising business professionals on investment management, mutual funds, ETFs, and CIT legal and... regulatory compliance. The role involves preparing SEC filings, including annual updates of fund registration statements and prospectus supplement filings, and preparing board...

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Posted On Sep 01, 26
Full-time Experience : 4-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements board of directors Capital Markets contracts Domestic Violence ETFs family Immigration International Law Investment Advisers Act of 1940 Securities securities laws stalking
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements board of directors Capital Markets contracts Domestic Violence ETFs family Immigration International Law Investment Advisers Act of 1940 Securities securities laws stalking

of proprietary exchange-traded funds (ETFs) by serving as the... function. - Engage in listing ETFs on exchanges and negotiating... provider agreements related to ETFs. - Review ETF-specific compliance policies... and procedures. - Coordinate with legal team members responsible for fund board meetings and...

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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...

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Posted On Sep 01, 26
Full-time 1 views
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act ETFs Ethics family fiduciary Mutual Funds pension registered investment companies reorganization Securities shareholders trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act ETFs Ethics family fiduciary Mutual Funds pension registered investment companies reorganization Securities shareholders trusts

Title: Senior Attorney - Board and Governance Support Job Responsibilities: - Serve as the primary senior attorney supporting the Chief Legal Officer (CLO) for Janus Investment Fund (JIF) and Janus Aspen Series (JAS) and Boards of Trustees and their committees, including Audit,...

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Posted On Sep 01, 26
Full-time 1 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Ethics family fiduciary Mutual Funds pension registered investment companies reorganization Securities shareholders trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Ethics family fiduciary Mutual Funds pension registered investment companies reorganization Securities shareholders trusts

Title: Senior Attorney - Disclosure and Regulatory Matters Job Responsibilities: - Serve as the primary senior attorney accountable for daily legal execution concerning disclosure and regulatory matters across all four Trusts (JIF, JAS, DST, and CST). - Act as the main point of...

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Posted On Aug 21, 26
Full-time 2 views Experience : Min 15 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

Title: Chief Compliance Officer Job Responsibilities: - Design, implement, and maintain a comprehensive compliance program covering Registered Investment Adviser (RIA), Broker-Dealer (B/D), and 40 Act registered fund obligations, including all policies, procedures, testing, and supervisory controls. - Monitor proposed SEC,...

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Posted On Aug 12, 26
Full-time 2 views Experience : 10-20 yrs required
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance

Title: Chief Compliance Officer Job Responsibilities: Compliance Leadership & Governance - Serve as the designated Chief Compliance Officer for the company's registered investment adviser and applicable registered investment companies. - Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and 38a-1 under...

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Posted On Aug 12, 26
Full-time 2 views Experience : Min 12 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters

the organization. - Identify and evaluate legal and business risks to support strategic decision-making. - Work closely with internal business teams to structure, develop, and launch registered securities offerings, including commodity ETFs and other vehicles registered... under the 1933 Act, and...

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Posted On Aug 12, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
40 Act agreements asset management derivatives equity ETFs Ethics Insurance investment management ISDA licensing marketing SEC filings stage startup swaps trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
40 Act agreements asset management derivatives equity ETFs Ethics Insurance investment management ISDA licensing marketing SEC filings stage startup swaps trusts

Title: ETF + RIA Legal Job Responsibilities: - Own the SEC filing lifecycle across all company ETF trusts: N-1A, 485A, 485(b), N-PORT, N-CEN, proxy statements, and annual updates. - Draft, review, and negotiate prospectus and SAI disclosure for new fund launches and ongoing...

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Posted On Sep 07, 26
Full-time 16 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Contract Law Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements ETFs finance hedge funds Insurance pension private equity Securities special projects
Practice Area:
Corporate - Asset/Investment Management Corporate - Contract Law Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements ETFs finance hedge funds Insurance pension private equity Securities special projects

company, initially focusing on specific areas such as Custody, Fund Services, ETFs, Agency Securities Finance, Collateral... Management, Cash and Liquidity Management, Depositary Receipts, and Digital Assets based on business needs and expertise. - Negotiate complex service agreements, including custody, fund adm...

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Posted On Sep 07, 26
Full-time 8 views Experience : Min 4 yrs required
Practice Area:
Corporate - Contract Law Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements ETFs finance hedge funds Insurance pension private equity Securities special projects
Practice Area:
Corporate - Contract Law Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements ETFs finance hedge funds Insurance pension private equity Securities special projects

Title: Securities Services Attorney - Assistant Vice President Job Responsibilities: - Review, identify, analyze, and escalate issues during the negotiation of complex service agreements, including custody, fund administration, and non-disclosure agreements for institutional clients. - Contribute to the oversight of the contents and...

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Posted On Aug 19, 26
Full-time 27 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management

open-end funds, closed-end funds, ETFs, and collective investment trusts. -... Review, draft, and negotiate various fund-related agreements such as intermediary and fund participation agreements, ETF authorized participant agreements, and contracts with key service providers. - Act as a trusted advisor to internal...

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Posted On Aug 19, 26
Full-time 18 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management

open-end funds, closed-end funds, ETFs, and collective investment trusts. -... Review, draft, and negotiate a broad range of fund-related agreements, such as intermediary and fund participation agreements, ETF authorized participant agreements, and contracts with key service providers. - Advise internal stakeholders, including...

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Posted On Aug 19, 26
Full-time 11 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management

Title: VP, Counsel Job Responsibilities: - Provide legal support for the company's . registered funds and collective investment trusts, ensuring compliance with relevant regulatory requirements. - Draft, review, and negotiate a broad range of fund-related agreements, including intermediary and fund participation agreements, ETF...

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Posted On Aug 19, 26
Full-time 20 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 pension Securities Act of 1933 securities laws spectrum trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 pension Securities Act of 1933 securities laws spectrum trusts wealth management

Title: SVP, Senior Counsel Job Responsibilities: - Deliver expert legal support for the company's . registered funds and collective investment trusts, ensuring compliance with all applicable regulatory requirements. - Draft, review, and negotiate a wide array of agreements related to fund distribution, operations,...

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Posted On Aug 19, 26
Full-time 15 views Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management

Title Senior Vice President, Head of Legal and Compliance Job Responsibilities - Provide legal and compliance support for the company's . broker-dealer, ensuring adherence to relevant regulatory requirements. - Draft, review, and negotiate a wide range of agreements related to...

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Posted On Aug 17, 26
Full-time 5 views Experience : 3-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action ETFs finance Government Mutual Funds
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action ETFs finance Government Mutual Funds

high volume of US registered fund (., ETFs, mutual funds) regulatory filings... and related documentation. - Support multiple fund boards with ongoing governance activities. - Assist in training and supervising other paralegals in connection with US fund regulatory filings. - Collaborate with count...

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Posted On Aug 17, 26
Full-time 12 views
Practice Area:
Finance - Financial Services Regulation Finance - General Fintech & Blockchain
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs
Practice Area:
Finance - Financial Services Regulation Finance - General Fintech & Blockchain
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs

fund accounting, administration, transfer agency, middle office, custody, and other services to a wide variety of registered and unregistered funds, ETFs, UITs, and other investment... vehicles. - Serve as a trusted internal resource and key legal advisor on significant business transactions...

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Posted On Aug 17, 26
Full-time 12 views
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs

Servicing business. The candidate will primarily support the Asset Servicing’s Fund Services group, which includes fund accounting, administration, transfer agency, middle office, custody, and other services to a diverse range of registered and unregistered funds, ETFs, UITs, and other inve......

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