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United States
Posted On Jul 07, 26
Full-time 4 views
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation
Job Tags:
agreements asset management Commercial Contracts contracts corporate governance corporate regulatory document review due diligence ETFs Intellectual Property Investment Advisers Act of 1940 licensing Litigation marketing Mutual Funds pension Profit Sharing securities laws Trademark wealth management
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation
Job Tags:
agreements asset management Commercial Contracts contracts corporate governance corporate regulatory document review due diligence ETFs Intellectual Property Investment Advisers Act of 1940 licensing Litigation marketing Mutual Funds pension Profit Sharing securities laws Trademark wealth management

Title: Associate Counsel Job Responsibilities: - Draft, review, negotiate, and advise on a wide variety of commercial agreements, such as vendor contracts, technology and SaaS agreements, service agreements, licensing arrangements, and other third-party contracts. - Partner with business teams to identify legal risks,...

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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

company’s business professionals on investment management, mutual fund, ETF,... and CIT legal and regulatory compliance. - Assist with SEC filings, including the annual update of fund registration statements and prospectus supplement filings. - Prepare board meeting materials for the company funds’ Board...

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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 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

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 preparation, review, and maintenance of template agreements, form documentation, legal playbooks, desk procedures...

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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

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 of template agreements, form documentation, legal playbooks, desk...

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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

Senior SMA Compliance Examiner Investment Management Job Responsibilities: - Assist... advisory business for affiliated investment advisers. - Focus on... portfolio monitoring, testing, and compliance with company policies and federal securities regulations. - Monitor individual portfolios and transactions, client onboarding, compliance monitoring,...

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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...

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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

various regulations, 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...

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