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United States
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 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 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 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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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 Jul 13, 26
Full-time Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management

including separate accounts, private funds, 1940 Act registered funds, and ETFs. - Advise on trading agreements... and related regulatory obligations. - Collaborate with legal teams covering Public and Private Side businesses and other divisions, such as wealth management and institutional securities. -...

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Posted On Jul 13, 26
Full-time 2 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management

of Public Side Legal and working under the supervision of senior attorneys, the incumbent will provide legal guidance and support for the company's registered equity, fixed income, and liquidity funds, ETFs, private funds, and institutional... business. Key responsibilities include: - Advi...

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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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