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United States
Posted On Aug 03, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Privacy Women
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Privacy Women

General Counsel - Registered Investment Advisor Job Responsibilities: The Assistant General... Counsel for a Registered Investment Advisor at the company... support to the company's investment advisory services. This role... strategic legal guidance to support the business objectives of the company's investment adviso...

Posted On Jul 14, 26
Full-time 1 views Experience : 4-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act agreements artificial intelligence asset management blockchain developers Energy entity formation equity ETFs family finance fund formation hedge funds Investment Advisers Act of 1940 Investment Banking Liquidations ordinances Partnership spectrum
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act agreements artificial intelligence asset management blockchain developers Energy entity formation equity ETFs family finance fund formation hedge funds Investment Advisers Act of 1940 Investment Banking Liquidations ordinances Partnership spectrum

subscription documentation, and bespoke side letter agreements with limited partners. - Coordinate with external legal counsel, as well as internal portfolio managers and sales teams, on legal diligence, negotiation, and execution of new investment opportunities. - Advise internal stakeholders... on ongoing fu...

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 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

Job Title: Investment Management Attorney Job Responsibilities: - Provide... 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...

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

Title: VP, Public Markets Attorney Job Responsibilities: The VP, Public Markets Attorney will be a critical member of the public-side legal team within the company. Reporting to the Head of Public Side Legal and working under the supervision of senior attorneys, the...

Posted On Jul 13, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933

primarily responsible for advising investment professionals and directing outside... counsel regarding fundraising, marketing activities, and compliance requirements arising from statutory, regulatory, and internal policy obligations. The role includes legal coverage within the company's Private Side business, with specific duties such...

Posted On Jul 14, 26
Full-time 3 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Division of the company. The primary responsibilities include: - Providing legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses. ... - Interpretation and application of fiduciary principles and duties. - Advising on advisory and brokerage service models and rela...

Posted On Jul 22, 26
Full-time 7 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Real Estate - Finance Real Estate- Commercial Transactions Real Estate - Tax Corporate - General Real Estate - General Tax - General
Job Tags:
agreements confidentiality agreements construction contracts corporate governance credit facilities equity finance fund formation Harassment Investment Advisers Act of 1940 leasing private equity securities laws
Practice Area:
Corporate - Asset/Investment Management Real Estate - Finance Real Estate- Commercial Transactions Real Estate - Tax Corporate - General Real Estate - General Tax - General
Job Tags:
agreements confidentiality agreements construction contracts corporate governance credit facilities equity finance fund formation Harassment Investment Advisers Act of 1940 leasing private equity securities laws

Title: Real Estate Private Funds Lawyer Job Responsibilities: - Serve as the lead in-house counsel within the company's real estate business group for various real estate funds, including real estate equity, credit, and secondary closed-end and open-end funds. - Oversee real estate fund...

Posted On Jul 29, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
investment management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
investment management

Job Title: Associate Investment Manager, Legal Counsel Job Responsibilities:... The Associate Investment Manager, Legal Counsel is... and advice related to investment management activities. Key responsibilities... and regulatory matters concerning investment management. - Drafting, reviewing, and... a wide range of investment management agreements and documents. -......

Posted On Aug 10, 26
Full-time 1 views Experience : 2-4 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
1940 Act agreements asset management contracts derivatives FLSA ISDA marketing organizational documents registered investment companies securities laws title
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
1940 Act agreements asset management contracts derivatives FLSA ISDA marketing organizational documents registered investment companies securities laws title

Title: Director, Associate Counsel - Wealth Job Responsibilities: The Director, Associate Counsel - Wealth, will provide legal support for the Company's . registered funds, sub-advisory relationships, and other retail products, including separately managed accounts and model-based programs. The role involves close collaboration...

Posted On Aug 17, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Markets platforms at the company. The attorney's responsibilities include advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products... and private securities transactions. Specific duties involve: - Advising on complex products and transact...

Posted On Aug 20, 26
Full-time 3 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

on applicable rules, regulations, and legal risks relating to the brokerage and investment advisory business. - Collaborate... with a senior attorney on internal merger and acquisition projects, supporting conversions, and serving as a legal advisor to the business, compliance, operati...

Posted On Aug 26, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

ongoing support of alternative investment and private markets products,... as well as private securities transactions. - Handle complex products and transactions involving alternative investment funds, feeder funds, private... equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and...

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

registered funds and collective investment trusts, ensuring compliance with... the Investment Company Act of 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...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Finance - Structured Finance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
artificial intelligence fund formation hedge funds Insurance investment management lending marketing regulatory compliance securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Finance - Structured Finance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
artificial intelligence fund formation hedge funds Insurance investment management lending marketing regulatory compliance securities laws

in-house legal resource for investment, operations, compliance, and other... regulatory matters involving the Investment Advisers Act, Investment Company... Act of 1940, securities laws,... other requirements applicable to investment managers. - Support the formation,... of private and registered investment funds. - Provide legal su......

Posted On Sep 14, 26
Full-time 21 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management contracts ERISA finance hedge funds Investment Company Act investment management marketing private equity special projects spectrum Transportation wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management contracts ERISA finance hedge funds Investment Company Act investment management marketing private equity special projects spectrum Transportation wealth management

Job Title: Global Alternatives Investment Solutions Assistant General Counsel Job... to the Global Alternative Investment Solutions businesses within the... legal support across various fund types, including open and closed-ended hedge funds-of-funds, private credit funds-of-funds, registered alternative investment funds, separately managed ......

Posted On Aug 21, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General Tax-General Practice (Transaction) Tax - M&A and Transactions Tax - International Tax - Federal Tax - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Finance - Financial Services Regulation Finance - General Tax-General Practice (Transaction) Tax - M&A and Transactions Tax - International Tax - Federal Tax - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title: Legal Counsel - Alternative Investments Job Responsibilities: - Oversee the distribution of complex fund or feeder fund offerings, including drafting and negotiating placement agent and other distribution agreements. - Manage custom fund offerings and servicing agreements, as well as review offering documents...

Posted On Sep 23, 26
Full-time 10 views Experience : Min 5 yrs required
Practice Area:
ERISA - General ERISA/Executive Compensation Transactions & Compliance
Job Tags:
Domestic Violence equity ERISA fund formation growth equity health benefits Insurance Investment Advisers Act of 1940 life sciences marketing Partnership private equity Securities Securities Act of 1933 securities laws stalking
Practice Area:
ERISA - General ERISA/Executive Compensation Transactions & Compliance
Job Tags:
Domestic Violence equity ERISA fund formation growth equity health benefits Insurance Investment Advisers Act of 1940 life sciences marketing Partnership private equity Securities Securities Act of 1933 securities laws stalking

and ensure compliance with federal, state, and international securities laws, including the Investment Advisers Act of 1940,... the Securities Act of 1933, and the... Exchange Act of 1934. - Devise, initiate,... maintain, and revise compliance and regulatory policies, procedures, controls, an...

Posted On Sep 30, 26
Full-time 7 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

- Provide legal counsel on core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity requirements... for company operations and strategic initiatives. - Assist with regulatory approvals, applications, notices, and f...

Posted On Aug 05, 26
Full-time 1 views Experience : 8-12 yrs required
Job Tags:
asset management crime Ethics FINRA Insurance Investment Company Act investment management private equity spectrum
Job Tags:
asset management crime Ethics FINRA Insurance Investment Company Act investment management private equity spectrum

Title: Associate Vice President, Compliance-- Conflicts Management Job Responsibilities: - Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, ensuring alignment with internal policies. - Identify and analyze conflicts arising from employee personal trading, private investments, and outside...

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