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United States
Posted On Sep 23, 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...

Posted On Sep 21, 26
Full-time 14 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......

Posted On Sep 14, 26
Full-time 18 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...

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. -...

Posted On Jul 13, 26
Full-time 3 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...

Posted On Sep 08, 26
Full-time 1 views 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...

Posted On Sep 23, 26
Full-time 4 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management

1940, Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and regulations. - Advise on the ongoing operation, maintenance, governance, and regulatory oversight of mutual funds, ETFs, and closed-end funds. -... Review and support the pr...

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